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Vanguard agreed to pay more than $6 million to Massachusetts investors hit with a large tax bill arising from capital gains distributions.
A massive cut to investment minimums for institutional shares left small investors with a huge tax liability.
The commission looking at the issues with the Massachusetts state seal needs more time to make a recommendation.
Some applicants claimed to have gained years of investment experience just days after an initial application was denied.
Massachusetts charged Fidelity Brokerage with unethical and dishonest conduct and practices in its handling of options trading applications.