Finra orders Barclays Capital to pay $13.75M over mutual fund sales
The self-regulatory organization is continuing its recent push to hold broker-dealers accountable for the suitability of product sales.
Finra continued its recent push to hold broker-dealers accountable for the suitability of product sales and saying today that it had reached a settlement with Barclays Capital Inc. in which the firm would pay restitution of more than $10 million to clients for mutual fund-related suitability violati
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