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Tag: mutual fund fees

Blog, Current Investigations

Private Advisor Group LLC settles with SEC for $5.8 Million  

SEC Charges Private Advisor Group with Alleged violations related to Mutual Fund Share Class selection and 12b-1 Fees  According to an...

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Blog, Securities Fraud

FINRA suspends former Next Financial broker, William Bailey

The Financial Industry Regulatory Authority (FINRA) recently announced that it has suspended William Bailey, a former NEXT Financial Group,...

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