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Mass. Brokerage Firm Fined $1M For Lax Oversight

By William Gorta ( May 5, 2017, 7:44 PM EDT) -- LPL Financial LLC on Thursday agreed to pay a $1 million fine and accept censure from the Massachusetts Securities Division for failing to supervise its financial advisers working out of the branches of the Digital Federal Credit Union, who misled consumers and accepted bonus money from the credit union during sales contests....

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