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Jan 18, 2015
UBS Fined Record $12 Million Plus $2.5m in Disgorgement, Interest for Dark Pool Disclosure Violations
Read More
Aug 18, 2014
FINRA Charges Wedbush Securities with Insufficient Controls, Leading to Manipulative Trades
Read More
May 29, 2014
FINRA Cracking Down on Abusive, Unsuitable Automatic Trading Practices
Read More
