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LPL Financial LLP (“LPL”) will pay $9 million following a FINRA investigation of LPL’s email system. Of that, $7.5 million will be paid as a[...]
The SEC and FINRA recently issued an Investor Alert regarding buying or selling pension or structured settlement income streams. A structured settlement typically represents a[...]
The Financial Industry Regulatory Authority Inc., has issued a Notice to Members, in which it reminds brokerage firms of their obligations to investors when communication[...]
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The time is ripe for Apple REIT investors to strongly consider filing individual arbitration claims. David Lerner Associates Inc. (“David Lerner Associates”) recently won the[...]
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RBC Capital Markets, a Canadian investment bank, has agreed to pay $450,000 for failing to review accounts held by James Hankins, Jr. Hankins used the[...]
The Securities and Exchange Commission recently issued a Risk Alert on compliance with its custody rule for investment advisers, as well as an Investor Bulletin[...]