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Two B-D reps agreed to be fined for violating Reg BI
Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As a result, the investment strategy of in-and-out trading recommended by Respondents placed their financial interest, as well as the firm’s financial interest, ahead of the customers’ interest, in violation of Reg. BI’s Care Obligation
