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: Securities Law Prof Blog

FINRA Fires Scottrade for Violating Margin and Credit Rules

By Securites Lawprof

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FINRA fined Scottrade, Inc. $200,000 for violating pattern day trading margin rules and for extending credit to customers in violation of federal securities laws and banking regulations. FINRA determined that Scottrade allowed certain margin account customers who executed a high...

Full post as published by Securities Law Prof Blog on April 01, 2010 (boomark / email).

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