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Tag: LPL failure to supervise

Blog, Current Investigations

VALIC Financial Advisors to pay $350,000 for Supervisory Failures

VALIC Financial Advisors has agreed to Sanctions for Failure to Supervise VA Exchanges The White Law Group is investigating potential...

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Blog, Current Investigations

FINRA Hits LPL Financial with $6M for Supervisory Failures

LPL Financial has agreed to a censure and $6.5 million fine for several supervisory and compliance failures The White Law Group is...

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