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: Securities Law Prof Blog

AFD $5 Million Fine for Directed Brokerage Upheld on Appeal

By Securites Lawprof

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A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 will stand, according to a ruling issued today by the National Adjudicatory Council (NAC), the appeals body of the Financial Industry Regulatory Authority (FINRA). The...

Full post as published by Securities Law Prof Blog on April 30, 2008 (boomark / email).

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