IAW News
Regulator Orders LPL to Pay $2M Over REITs
- Friday, 08 February 2013
LPL Financial has been ordered by the Massachusetts Security Division to pay investors $2 million in restitution related to selling shares of a private real estate investment trust (REIT), reports InvestmentNews.
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MF Global Clients to Recoup 93% of Lost Assets
- Saturday, 02 February 2013
A settlement that will return 93% of MF Global clients’ assets that were lost when the company collapsed in 2011 has been approved by a bankruptcy judge, reports the New York Times.
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FINRA to Focus on Anti-Money Laundering Regs
- Saturday, 02 February 2013
Regulatory exams by the Financial Industry Regulatory Authority will focus on compliance with anti-money laundering regulations this year, reports Reuters.com.
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