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Stifel to Pay $2.3M Over Sales of Complex ETFs
News March 26, 2024 at 05:41 PM
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What You Need To Know
- The firm's reps routinely recommended long-term holdings of funds that reset daily, FINRA says.
- Stifel had been fined earlier for failing to keep an adequate system to supervise such sales.
- Stifel accepted the findings without admitting or denying them.
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