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US FINRA fines E-Trade Securities $900,000

Discussion in 'Forex Brokers' started by Eliza Abrams, Jun 6, 2016.

  1. Eliza Abrams

    Eliza Abrams Well-Known Member Trader

    Mar 11, 2016
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    The US securities authority, the Financial Industry Regulatory Authority (FINRA) said on Thursday it has imposed a fine in the amount of $900,000 to securities brokerage E-Trade Securities in relation to its customer information protection policy. The broker has failed to conduct an adequate review of the quality of execution of its customers’ orders and for supervisory deficiencies concerning the protection of customer order information.

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