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Cadaret Grant, LPL’s fresh B-D purchase, to pay $6M+ over revenue sharing conflicts
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investmentnews.comCadaret, Grant & Co., a New York-based investment advisory and brokerage firm, which is among the broker-dealers LPL is snapping up as part of a deal to acquire Atria, has been ordered to pay more than $6 million by the SEC for what the regulator said were multiple breaches of fiduciary duty.
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