Brokers riled by overlapping enforcement penalties from multiple regulators

   With several agencies patrolling the same beat, advisers and firms can be hit with numerous sanctions for a single infraction... Stephen Cutler, vice chairman of J.P. Morgan Chase & Co., likened the situation to "not just double jeopardy but multiple jeopardy," drawing applause during an appearance last Tuesday...

March 27, 2017 | By Investment News

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