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within Intellectual Property, Food, Drugs, Healthcare, Life Sciences and Transport topic(s)
A broker-dealer settled FINRA charges for failing to implement
a supervisory system in connection with the sale to retail
investors of leveraged and inverse-indexed exchange-traded products
("ETPs").
To settle the charges, the broker-dealer agreed to (i) a
censure, (ii) a $30,000 fine and (iii) restitution in the amount of
$92,805 plus interest.
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