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FINRA fined and censured three Advisor Group, Inc. subsidiaries—Royal Alliance Associates, Sagepoint ...
FINRA fined Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, and Woodbury ...
FINRA sanctioned former LPL Financial and present FSC Securities Corporation (both of San Diego, CA) ...
FINRA fined FSC Securities Corporation $100,000 and ordered nearly $500,000 in restitution after ...