FINRA Cracks Down on Training Seminars

The Financial Industry Regulatory Authority is investigating member firms to ensure they are using appropriate sales practices in their dealings with seniors and individuals nearing retirement.

FINRA will look at investment seminars conducted by securities firms that are designed to entice older workers to liquidate their retirement funds and invest them with a specific firm or representative. In the past year, FINRA (or the former NASD) has fined two securities firms a total of $5.5

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