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  1. FINRA Fines Citigroup $3.5 Million for Inaccurate RMBS Data

    ... did not correct the problem until years later," said Brad Bennett, FINRA executive vice president and chief of enforcement. "Investors ...

    NationalMortgageProfessional.com - 2012-05-25 12:47

  2. FINRA Hits Barclays Capital With $3 Million Fine for Sub-Prime MBS Misrepresentations

    ... to assess future performance of RMBS investments," said Brad Bennett, FINRA executive VP and chief of enforcement. Barclays neither ...

    NationalMortgageProfessional.com - 2011-12-27 10:57

  3. FINRA Fines Northern Trust Securities for Not Monitoring Collateralized Mortgage Obligations

    ... through potential over-concentration in CMOs,” said Brad Bennett, FINRA executive VP and chief of enforcement. In concluding this ...

    NationalMortgageProfessional.com - 2011-06-02 11:54

  4. FINRA Fines Credit Suisse and Merrill Lynch for Misrepresentations of Sub-Prime Securitizations

    ... customers can make informed investment decisions," said Brad Bennett, executive vice president and chief of enforcement for the Financial ...

    NationalMortgageProfessional.com - 2011-05-31 15:05

  5. FINRA Fines Southwest Securities $650,000 for Compliance Short Selling Violations

    ... the risks that can be created by correspondent firms," said Brad Bennett, FINRA executive vice president and chief of enforcement. "Southwest's ...

    NationalMortgageProfessional.com - 2011-03-24 09:25

  6. FINRA Orders Schwab to Pay $18 Million to Investors for MBS Market Trouble

    ... the information necessary to make informed decisions," said Brad Bennett, FINRA executive vice president and chief of enforcement. "Despite the ...

    NationalMortgageProfessional.com - 2011-01-11 15:57