Rounding out the top three cases that garnered the most fines for Finra in 2019 were misleading or inaccurate Information cases. Finra reported 28 misleading or inaccurate information cases, with $3.3 million in fines in 2019. The number of cases decreased 18% from the 34 cases brought in 2018, although the fines increased 83% from $1.8 million reported in 2018, the report said.

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