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Articles Posted in FINRA Investigations

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New Study Reveals: 7% of Financial Advisers Are Guilty of Misconduct. How Safe Are You?

In February 2016, academics Mark Egan, Gregor Matvos and Amit Seru at the University of Minnesota and University of Chicago business schools released a report titled “The Market for Financial Adviser Misconduct” on financial advisers in the United States. The report reveals how rampant securities fraud and broker misconduct is throughout the country. For the…

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