November 30, 2021

FINRA fines banks for mixing research, investment banking biz

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By Scott Flaherty, From The Litigation Daily A decade after a crackdown that was supposed to rein in research conflicts at Wall Street banks, the industry’s self-regulator won penalties Thursday from 10 leading banks accused of using their research analysts to drum up investment banking business. Goldman Sachs & Co., JP Morgan Securities LLC, Citigroup […]