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FINRA’s Fines Down, Restitution Ordered Up

January 8, 2013
Tom Steinert-Threlkeld

The independent regulator of brokerages said it assessed $68 million in fines in 2012, down 5.4% from 2011. But the amount of money it ordered firms and individuals to pay back customers harmed by their actions was up 75.3%, to $34 million.

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