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sox040713

03/29/18 8:55 PM

#222790 RE: keltoi #222787

Would FINRA really sue their ‘boss’?

In 2017, through our aggressive vigilance, we brought 1,369 disciplinary actions against registered brokers and firms. We levied $66.8 million in fines. And we ordered $66.8 million in restitution to harmed investors. We also referred more than 850 fraud and insider trading cases to the SEC and other agencies for litigation and/or prosecution.



Disciplinary actions - https://www.finra.org/industry/decisions

Fraud and insider trading cases - https://www.finra.org/newsroom/actions-resulting-referrals-federal-and-state-authorities

https://www.finra.org/about

scottsmith

03/29/18 8:58 PM

#222791 RE: keltoi #222787

Then why are you defending these rigged finra numbers. Hmm...