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Financial Industry Regulatory Authority

Citi Fined For Derivatives Deals

cnbc.com | Posted 10.12.2009 | Business

Read More: Ubs, Financial Industry Regulatory Authority, Citigroup, Business News

Citigroup is expected to be fined $600,000 by the Financial Industry Regulatory Authority over derivatives transactions that helped foreign clients av...

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SEC Chair Mary Schapiro's Previous Agency Was Soft On Enforcement: Report

Legal Times | Posted 07.05.2009 | Business

Read More: FINRA Enforcement, Sec, Financial Industry Regulatory Authority, Mary Schapiro, Mary Schapiro Sec, Schapiro Enforcement, Securities and Exchange Commission, Finra, SEC Chair, Business News

An analysis conducted out of Sutherland Asbill & Brennan's Washington office shows the Financial Industry Regulatory Authority - the independent secur...

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Posse on Trail of Wall Street Cheats

Dan Dorfman | Posted 05.07.2009 | Business

Read More: CV Therapeutics, Suslow Securities, Financial Industry Regulatory Authority, American Stock Exchange, HOffman-L ROch Ltd., Malcom Lowenthal, Wells Fargo, Document Security Services, Nasdaq, BioMS MEdical Corp, Alcoa, InterMune, ON2 Technologies, Targer, War Crimes, Marathon Acquisition Corp, Health Care REIT, Bailout Bandits, Wall-Street, Genetech, Gilead Sciences, Wall-Street Investigations, Deeerfield Captial Corp, Terra Industries, AVE BioPharma, Wall Street, Wall Street Investigations, Business News
Dan Dorfman

Financial skulduggery, judging from the latest and sharply increasing number of stock trading investigations, is unmistakably on the rise.

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