Tagged with "Barclays Capital Inc."

10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

Posted on December 30th, 2014 at 9:56 AM
10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

FINRA has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys R Us. 

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