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Why FINRA's $500K Fine of Raymond James Was a Rare Move

2016-03-28 08:36:20| Apparel - Topix.net

On the face of it, FINRA's recent $500,000 fine of Raymond James for violating a privacy rule may seem like small potatoes for a firm that reported $1.27 billion in net revenues last quarter. Moreover, there was very little about the case that would be considered unusual to the recruiting and hiring conventions within the highly competitive brokerage business.

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