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Ex-Broker Hit With Reg BI Fine, Suspension
News February 23, 2024 at 02:45 PM
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What You Need To Know
- The rep recommended more than 350 trades in a 63-year-old client's account in 16 months, FINRA said.
- The client had a liquid net worth of approximately $50,000.
- The in-and-out trading caused the customer to lose money and violates Reg BI.
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