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Mutual Funds

Most Recent Posts in Mutual Funds

Dec 2, 2024 JP Morgan to Pay $151 Million Over Major Disclosure Failures, Prohibited Transactions, Best Interest Violations, and Breaches of Fiduciary Duty
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Jan 26, 2024 Benchmark Investments Ex-Broker Todd Anderson Barred After Disputed Signature, Unsuitable Recommendations
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Jan 9, 2024 LPL Financial to Pay $6 Million for Supervisory, Sales Practice, and Review Failures
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Jun 9, 2023 LPL & CUSO Financial Broker Kale KH Young Sanctioned for Falsifying Customer Signatures
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Apr 26, 2023 Todd Anderson Cited for Unsuitable Recommendation That Senior Purchase $1 Million of Mutual Funds
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Aug 30, 2022 Kovack Securities Cited for Failing to Supervise Short-Term Mutual Fund Trades, Suitability Issues
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May 9, 2022 LPL Financial Broker Bruce Amman Cited for Transacting $3.5 Million Private Placement Without LPL Approval
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Mar 24, 2022 Geneos Wealth Management to Pay $400,000 for Improper Alt Investment Sales
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Jan 14, 2022 Royal Alliance Associates, Sagepoint Financial & FSC Securities Sanctioned for Supervisory Failures; SagePoint Cited for Failing to Monitor Known Problem Brokers
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