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  • FINRA Fines 6 Firms Over REIT Sales

    October 15, 2015 Comments (0) Blog, Securities Fraud

    The Financial Industry Regulatory Authority (FINRA) fined six independent broker dealers who failed to give certain clients discounts on large purchases of non-traded REIT’s. According to InvestmentNews, the six firms were fined a total of more than $500,000 with Voya and Transamerica receiving the largest fine.

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