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In Latest A-Share Discount Snafu, Broker-Dealer Pays $1.37 Million To Clients

TedTed
in The Bullpen
FYI: The Financial Industry Regulatory Authority Inc. flagged another broker-dealer for not giving clients discounts when they bought mutual fund A shares, this time reaching a settlement with Lincoln Investment Planning in which the firm paid $1.37 million to clients whom it overcharged between January 2011 and this June.
Regards,
Ted
https://www.google.com/search?source=hp&ei=9_aQW9rnFIv-sAXz0r0w&q=In+latest+A-share+discount+snafu,+broker-dealer+pays+$1.37+million+to+clients&btnK=Google+Search&oq=In+latest+A-share+discount+snafu,+broker-dealer+pays+$1.37+million+to+clients&gs_l=psy-ab.3...3280.3280..5243...0.0..0.64.127.2......0....1j2..gws-wiz.....0.L6m2pYdgLeo
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