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FINRA Says Firms Ignored Red Flags About Overseas Biz

By Sarah Jarvis ( January 20, 2026, 10:59 PM EST) -- The Financial Industry Regulatory Authority has accused a pair of broker-dealers of failing to investigate red flags related to underwriting foreign customers' transactions and of not disclosing certain compensation, while the firms separately sued the regulator in Illinois federal court for overreach they claim blocked them from underwriting engagements....

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