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Firm's latest settlement raises question about force of Regulation Best Interest

Despite its brokers' alleged Regulation Best Interest violations, Laidlaw & Company's latest brush with regulators was handled under FINRA's old suitability standard. ....

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FINRA steps up Reg BI enforcement with excessive trading case

A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own. ....

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