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FINRA Fines Fidelity Unit $600K Over Ex-Employee's Theft

By Katryna Perera ( January 9, 2025, 8:45 PM EST) -- Fidelity Brokerage Services LLC has agreed to pay $600,000 to resolve the Financial Industry Regulatory Authority's claims that the firm had an inadequate supervisors system in place from 2012 through 2020 that failed to detect an associated person's theft of $750,000 from customer accounts....

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