FINRA steps up e-mail enforcement

05/28/2013 | InvestmentNews (free registration)

The Financial Industry Regulatory Authority's record-breaking settlement with LPL Financial over e-mail violations is the latest in a string of increased enforcement actions in that area. FINRA had already reached settlements in nine e-mail-related cases this year, after just 18 such cases during all of last year, according to one study.

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