
The Financial Industry Regulatory Authority fined metlife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public. The fine also resolved charges of failing to establish adequate supervisory procedures relating to broker participation in outside business activities and private securities transactions. For more info visit https://www.finra.org/media-center/news-releases/2009/finra-fines-metlife-securities-and-affiliates-12-million-email