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FINRA fines nearly doubled in ‘09

July 9, 2010
Investment News

Litigation Partner Brian L. Rubin comments on the FINRA Sanctions Study he and co-authors Deborah G. Heilizer and Shanyn L. Gillespie released, which found FINRA actions involving mutual funds and suitability topped the list for total fines in 2009. Rubin said, "The higher fine totals were primarily from large mutual fund timing cases."

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