The 15 Biggest Sanctions FINRA Levied in 2015

The Financial Industry Regulatory Authority cracked down on a number of issues in 2015, although perhaps the most common (and costly) for many broker/dealers was mutual fund overcharges. Overall, the 15 biggest sanctions the regulator doled out against b/ds totaled $134.4 million, according to data compiled by Brian Rubin and Andrew McCormick of the law firm Sutherland Asbill & Brennan.

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