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August 16, 2013
FINRA Fines and Suspends Broker for violations in YouTube Video

The Financial Industry Regulatory Authority (FINRA) recently suspended and fined a broker for a social media violation involving equity index annuities writes Elizabeth Festa in a recent article for LifeHealthPro. The registered representative publicly released videos through YouTube, sending out invitations to seminars and letters regarding bonus incentives that did not comply with FINRA’s rules, […]

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