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September 23, 2016
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Blog, Securities Fraud
What is FINRA Rule 3110? According to the Financial Industry Regulatory authority (FINRA) FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and
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September 23, 2016
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Blog, Current Investigations, Securities Fraud
FINRA Charges Investment Professionals Inc. with Failure to Supervise Texas-based broker-dealer Investment Professionals Inc. (IPI) has been censured and fined $170,000 by the Financial Industry Regulatory Authority (FINRA). IPI is headquartered in San Antonio, TX since it was established in 1992, with over $8.2
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