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Posted inRegulatory Enforcement

Fidelity unit fined $900K by FINRA for due diligence lapses

by Kyle Brasseur October 4, 2023October 11, 2023

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Fidelity Brokerage Services agreed to pay a $900,000 penalty levied by the Financial Industry Regulatory Authority (FINRA) regarding alleged due diligence failures caused by errors in the firm’s automated screening system.

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