FINRA is a non-profit organization made up of over 360,000 members who work in the securities industry (financial markets). That self regulate and when they find brokers behaving badly, they fine/sanction them. But what is their responsibility for non-members who are named in their investigations?
from Forbes Real Time https://www.forbes.com/sites/walterpavlo/2017/10/06/lawsuit-counter-claim-finra-actions-led-to-fraud-accusations-against-non-members/
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