FINRA handed out some hefty fines to financial firms in 2014. Click to see 10 of the biggest fines handed out this year, presented in order of the amount of the fine.
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FINRA handed out some hefty fines to financial firms in 2014. Click to see 10 of the biggest fines handed out this year, presented in order of the amount of the fine.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.