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LPL Settles FINRA Records, Fingerprint Claims For $6.5M

By Rachel O'Brien (January 4, 2021, 4:36 PM EST) -- Broker-dealer LPL Financial has reached a settlement with the Financial Industry Regulatory Authority that will require the financial advising company to pay $6.5 million to end claims it didn't keep records and failed to fingerprint more than 7,000 people....

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