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FINRA Regulation and Compliance

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Morgan Stanley to Pay $800K for Overcharging Clients
Ex-Broker Gets 20 Years in Prison Over Ponzi, COVID-19 Fraud Schemes
Ex-Merrill Advisor Who Threw Smoothie Catches FINRA's Eye Over Cash Transactions
11 Big Advisor Regs That Moved Forward in 2022
Edward Jones Fined $1.1M Over Phone Records

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Advisor Group BDs Hit With $1.3M FINRA Penalty
Ex-LPL Rep Charged With Stealing $1.3M From Client With Dementia
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABA
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment Scheme
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness Tampering