Updated Tuesday, July 22, 2014 as of 9:39 PM ET
Practice - Regulatory/Compliance
FINRA Orders Firms to Pay $4.48M
by: Lynn Hume
Thursday, December 27, 2012
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WASHINGTON The Financial Industry Regulatory Authority has ordered five firms to pay $4.48 million for unfairly using bond proceeds to pay reimburse themselves for membership fees they paid to the California Public Securities Association, a lobbying group.

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