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Browse: Home / 2014 / May / 19 / It pays to fight back against SEC, FINRA — LifeHealthPro

It pays to fight back against SEC, FINRA — LifeHealthPro

By Securities Docket on May 19, 2014, 7:45 am

Despite advisors’ and broker-dealers’ fears that litigating against the Securities and Exchange Commission and the Financial Industry Regulatory Authority is futile, new findings show that it does pay for advisors and BDs to fight charges brought against them.

via It pays to fight back against SEC, FINRA — LifeHealthPro

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Posted in Industry, SEC, Top | Tagged Litigation, Trials

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