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Dance Like No One is Watching, Text Like Your Words Will Be Published on the Front Page: The Importance of Internal Compliance with FINRA and Text Message Production
UnknownMar 5, 2026(6 days ago)
Benjamin Edwards was censured and fined $750,000 for failing to properly supervise and preserve employees’ business-related text messages.
Earlier this month, Benjamin Edwards, a broker-dealer firm, agreed to a censure and to pay a $750,000 fine for failing to properly supervise and preserve its employees’ business-related text messages.... By: Benesch