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Lessons from Waddell & Reed reverse churning case
A $775,000 settlement for Waddell & Reed relating to its pre-LPL days displays how the regulator is ramping up enforcement of such cases, experts said.
Nicole boyson
Waddell reed
Susan schroeder
Raymond james
Brian rubin
Linda morgan
Northeastern university
Wall street
Wilmerhale partner susan schroeder
Eversheds sutherland washington
Kovack advisors
Regulation best
Regulation and compliance
Lpl financial
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