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Higher Number of RIAs Run Afoul of State Regulators – WealthManagement.com

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WealthManagement.com
Higher Number of RIAs Run Afoul of State Regulators
WealthManagement.com
States returned $486 million in restitution to investors, up from $231 million in the prior year. Yet, penalties were down significantly to $79 million from $682 million in the prior year, a reflection, perhaps, of the decline in actions against broker