The Financial Industry Regulatory Authority assessed financial firms and individuals $68 million in fines in 2012 and ordered them to pay a record $34 million in restitution to investors, the regulator announced Tuesday.
FINRA Fines Total $68 Million in 2012
To continue, please sign in or become a member.
Join the On Wall Street
MEMBERSHIP IS FREE
- Access to essential information that independent advisors need to make informed decisions
- Exclusive E-Newsletters delivering the latest headlines to your inbox
- Access to white papers, web seminars, blogs, discussion boards, and CE exams
Have an account?
SIGN IN HERE