Tuesday 31 January 2012

COMPLY: Fines fail to stop some broker bloopers

(Reuters) - The risk of being fined, or even thrown out of the securities business, should be enough motivation for advisers to follow the industry's most basic rules.

Source: http://feeds.reuters.com/~r/reuters/USpersonalfinanceNews/~3/BYCnBiCrAho/us-comply-broker-mistakes-idUSTRE80U1RI20120131

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