Investor Fraud and FINRA Fines
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,700 brokerage firms, about 167,000 branch offices and approximately 635,000 registered securities representatives. Their job is to protect you, the investor, that you have a safe place to invest. How well are they dong? I [...]
Categories: investor fraud Tags: finra fines, investor fraud
