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FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, capital markets compliance, outsource compliance Jay Proffitt 11/28/25 FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, capital markets compliance, outsource compliance Jay Proffitt 11/28/25

FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment

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investment adviser, broker dealer, investment adviser compliance, broker dealer compliance, capital markets, RIA, ERA, internet investment adviser Jay Proffitt 11/4/24 investment adviser, broker dealer, investment adviser compliance, broker dealer compliance, capital markets, RIA, ERA, internet investment adviser Jay Proffitt 11/4/24

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