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By Melanie Waddell, AdvisorOne |
May 21, 2013
FINRA announced Tuesday that it fined LPL for 35 separate, “significant email system failures,” and for making material misstatements to FINRA during its investigation.
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By Melanie Waddell, AdvisorOne |
October 12, 2012
After analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.
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By Marlene Y. Satter, AdvisorOne |
August 30, 2012
Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.