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FINRA Says Firm Broke Reg BI By Not Spotting Risky Trading

By Sydney Price ( January 21, 2026, 6:49 PM EST) -- The Financial Industry Regulatory Authority has accused a broker-dealer and its ex-CEO of violating Regulation Best Interest by failing to identify suspicious, excessive trading in a customer account by a representative of the firm, causing the client $1.2 million in losses....

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