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Tag: breakpoint discounts

Blog, Securities Fraud Articles

August 3, 2011

Morgan Stanley fined by FINRA relating to UIT sales

Morgan Stanley & Co. Incorporated (CRD #8209, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in...

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Blog, Securities Fraud Articles

October 29, 2010

FINRA Fines For Mutual Fund Sales Practices

In or about 2009, FINRA fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA’s (then...

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