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Posted On: 03/27/2018 8:43:22 PM
Post# of 72445
Quote:
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-result...uthorities
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