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The broker-dealer has agreed to settlements and penalties after allegations that it mishandled the sales and oversight of leveraged ETFs and non-traded, real estate investment Trusts (REITs).
Broker-dealer LPL Financial will be paying $3.4 million in settlements and penalties after allegations that the firm failed to properly handle the sales and oversight of complex, leveraged exchange traded funds (ETFs) and non-traded, real estate investment Trusts (REITs). In a settlement with Massachusetts and Delaware, the firm will be paying approximately $2 million to...
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