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The Financial Industry Regulatory Authority (“FINRA”) has acted on its promise to bring Reg BI to life, announcing last week that it has expelled member firm SW Financial, as well as...
SW Financial charged with, negligently misrepresenting and omitting material facts in disclosures to its investors, cloaking a conflict of interest the firm had with the securities at issue. The Financial Industry Regulatory Authority expelled member firm SW Financial
FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.