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FINRA fines 5 firms over reimbursement fees
FINRA recently announced that it has sanctioned five brokerage firms for unfairly obtaining the reimbursement of fees they paid to the...
Hedge Funds – Next Big Wave of Litigation?
Risks of Hedge Funds to Retail Investors It is being reported that the Securities and Exchange Commission asset management unit recently...
FINRA fines Pruco Securities over mutual fund sales
FINRA recently announced that it has ordered Pruco Securities to pay more than $10.7 million in restitution, plus interest, to customers...
SEC bulletin regarding municipal bond risks.
The Securities and Exchange Commission today issued an Investor Bulletin to help purchasers of municipal bonds better assess the bonds’...
