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Articles Posted in Exchange-Traded Notes (ETNs)

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Independent Financial Group, LLC Fined by FINRA Over Supervisory Violations

Iorio Altamirano LLP is investigating claims on behalf of Independent Financial Group, LLC customers after the firm was censured and fined $200,000 by FINRA. The sanctions involve supervisory failures related to a registered representative’s unsuitable recommendations to customers, including seniors. In addition to the censure and fine, the firm also…

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