FINRA proposed amendments to its rules to allow members to project the performance of, or provide a targeted return regarding, security or asset allocations.
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A broker-dealer settled charges with FINRA for causing customers to overpay in excess sales charges and fees on their accounts.
A broker-dealer settled FINRA charges for overstating the projected yield and annual income for nine money market funds on customer account statements.
A broker-dealer and a former representative settled FINRA charges for suitability and supervisory failings concerning recommendations involving Unit Investment Trusts and preferred stock of a real estate investment trust.
A broker-dealer settled FINRA charges for failing to identify potential sales charge discounts on customers’ mutual fund transactions.