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Articles Posted in Alternative investments

Supervisory Failure Leaves LPL Financial with Heavy Fines
Law Office of Christopher J. Gray, P.C. Team

Investor lawyers say the Financial Industry Regulatory Authority (FINRA) found supervisory deficiencies related to investment concentration at leading independent broker-dealer LPL Finanical. As a result of alleged unsuitable recommendations, FINRA has announced a penalty in the form of a $950,000 against LPL Financial. Alternative investments can include a variety of products, including oil and gas…

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