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Regulation

Plenty of red flags, few restrictions: Is FINRA's Rule 4111 working?

By Dan Shaw · Financial Planning ·

Image: Financial Planning

Roughly a dozen brokerages have enough customer complaints and other disclosures to merit preliminary scrutiny for a public "scarlet letter" alerting investors of heightened risks. But only two firms have been deemed restricted by FINRA.

Summary as published by Financial Planning
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