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Ally Securities Arm To Pay FINRA $850K Over Records Lapses

By Sydney Price ( October 9, 2025, 8:00 PM EDT) -- Brokerage firm Ally Invest Securities LLC has agreed to pay the Financial Industry Regulatory Authority $850,000 to settle claims it did not review or maintain millions of relevant communications records between the firm and its customers due to its failure to take reasonable compliance measures and electronic system failures....

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