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Firm To Pay $3.4M Over Broker's Commissions From Tribe

By Andrew Westney (February 23, 2017, 7:02 PM EST) -- The Financial Industry Regulatory Authority said Wednesday that an Albany, New York-based investment firm has agreed to pay almost $3.4 million to a Native American tribe to settle claims the firm failed to properly supervise one of its brokers accused of taking millions in undisclosed commissions on the tribe's investments....

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