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FINRA Announces Final Results of Targeted Examination of Unit Investment Trust Early Rollovers

Settlements Reached with Six Member Firms Resulted in Nearly $17 Million in Restitution to 10,000 Harmed Customers

WASHINGTON—FINRA announced today that as a result of its targeted examination of Unit Investment Trust (UIT) early rollovers, FINRA has reached settlements with six member firms and obtained more than $16.8 million in restitution to approximately 10,000 investors. All of the firms, including two that agreed to settlements today,1 failed to