SEC Slams FINRA for Sandbagging
Jul 22, 2008 2:53 pm
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I would urge you all to read this fascinating case involving a FINRA matter in which the SEC dresses down FINRA for failing to specify with adequate detail the full charges against a broker. This is a case to print-out and save for your records.
Source URL:https://www.wealthmanagement.com/forums/legal-issues/sec-slams-finra-sandbagging