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: Securities Law Prof Blog

FINRA Fines Two Firms for Stock Loan Improprieties

By Securites Lawprof

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FINRA announced that as part of its in-depth investigation of stock loan practices in the industry, it has imposed a fine of $1 million against Raymond James & Associates, Inc. of St. Petersburg, FL, and a fine of $400,000 against...

Full post as published by Securities Law Prof Blog on June 17, 2009 (boomark / email).

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