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FINRA Hunting Wall Street Wolves

Friday, May 01 2015

Regulatory & Compliance

Written by PFA News

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The Financial Industry Regulatory Authority is aggressively looking to crack down on bad brokers, such as those that were portrayed in the movie “Wolf of Wall Street.” So reports WealthManagement.

During the first quarter of this year, the regulator increased its actions against such brokers, says Brad Bennett, head of enforcement at FINRA.

Read the full article from WealthManagement.

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