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Finra Orders Barclays Capital To Pay $13.75M Over Mutual Fund Sales

TedTed
in The Bullpen
FYI: 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 violations. Barclays Capital was also fined $3.75 million.
Regards,
Ted
http://www.investmentnews.com/article/20151229/FREE/151229941?template=printart
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