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FINRA Fines Firm $750K Over Puerto Rican Bond Trading

By Katryna Perera ( July 15, 2021, 6:21 PM EDT) -- The Financial Industry Regulatory Authority has reached a $750,000 settlement with Texas broker-dealer NEXT Financial Group over claims that the firm over-concentrated customer accounts in Puerto Rican municipal bonds and failed to have supervisory systems in place to flag unsuitable trades....

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