FINRA Announces Final Results of Targeted Examination of Unit Investment Trust Early Rollovers


This PRESS RELEASE was originally published on THIS SITE

Settlements Reached with Six Member Firms Resulted in Nearly $17 Million in Restitution to 10,000 Harmed Customers

WASHINGTON—FINRA announced today that as a result of its targeted examination of Unit Investment Trust (UIT) early rollovers, FINRA has reached settlements with six member firms and obtained more than $16.8 million in restitution to approximately 10,000 investors. All of the firms, including two that agreed to settlements today,1 failed to

Author: Admin
We aggregate press releases from federal, state and local government offices for publishing purposes and a network of news sites. We call this news source as "direct source news". We are unbiased, and politically neutral. It is America and people have the "freedom" to support and vote for the candidates of their own choice supported by their personal beliefs. We do however support America!