During the first quarter of this year, the regulator increased its actions against such brokers, says Brad Bennett, head of enforcement at FINRA.
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FINRA Hunting Wall Street Wolves
- Friday, May 01 2015
- Regulatory & Compliance
- Written by PFA News
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.