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What kind of actions has FINRA taken to protect the investment community?

In 2012, FINRA brought 1,541 disciplinary actions against registered brokers and firms, ordered $34 million in fines paid to harmed investors, and referred 692 cases of fraud and insider trading to the SEC and other U.S. government agencies for prosecution or litigation. FINRA also barred individuals and 549 brokers from any association with member firms, and levied more than $68 million in fines to rule breakers. FINRA also provides an online BrokerCheck tool, that enables investors to check any broker’s or securities firm’s disciplinary history and professional background.


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