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Home>Purshe Kaplan Sterling to pay $3.4M in restitution for overcharging Native American tribe

Purshe Kaplan Sterling to pay $3.4M in restitution for overcharging Native American tribe

InvestmentNews.com

Wed, 22 Feb 2017

Firm will also pay a $750,000 fine to Finra for failing to supervise broker who sold tribe non-traded REITs and BDCs.

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