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nordicroots

12/06/19 2:11 AM

#333859 RE: Krombacher #333830

And of course - there are FINRA firms that fail to report properly (e.g., in a timely manner) as well. There was some discussion of examples of FINRA governed firms that failed to do so properly in earlier posts and links to articles that profiled the fines imposed on those firms for failing to abide by the FINRA rules. The system in place is not without its flaws.