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FINRA Orders Multiple Firms to Pay $11.1 Million in Restitution for...

The Financial Industry Regulatory Authority has censured and ordered multiple broker-dealers to pay a total of $11.1 million in restitution to clients for their...

Transamerica to Pay $8.8 Million to Settle FINRA Charges

The Financial Industry Regulatory Authority has ordered Transamerica Financial Advisors Inc. to pay a $4.4 million fine, plus nearly $4.4 million in restitution after...