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Jefferies LLC Settles with FINRA, Agrees to $37,200 Fine Over Regulation M Violations

2 years ago 0 1026

Jefferies LLC Settles with FINRA, Agrees to $37,200 Fine Over Regulation M Violations

Jefferies LLC settles with FINRA, agreeing to a $37,200 fine for supervisory failures related to Regulation M compliance.

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