The Financial Industry Regulatory Authority said Monday that it had brought 6,291 disciplinary actions and levied a total of $254.1 million in fines, since its formation on July 30, 2007.

Register or login for access to this item and much more

All Financial Planning content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access