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FINRA Fines Firm $1M Over Mutual Fund Supervision Issues

By Katryna Perera ( December 3, 2025, 4:30 PM EST) -- The Financial Industry Regulatory Authority has ordered Securities America Inc. to pay a $1 million fine and roughly $2 million in restitution to customers for allegedly failing to reasonably supervise certain mutual fund recommendations that allegedly resulted in customers paying unnecessary fees and following recommendations that were not in their best interests....

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