Articles Posted in Exchange Traded Funds

LPL Financial – More Supervisory Failures in Sales of ETFs, Annuities, REITs
Samuels Yoelin Kantor LLP

FINRA announced yesterday that as part of a settlement reached with brokerage firm LPL Financial LLC, it is fining LPL $10 million for broad supervisory failures over multiple years and ordered almost $1.7 million in restitution to certain LPL customers. The sanctions are for LPL’s supervisory failures including failure to adequately supervise LPL broker sales…

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