James Brown, Montana State Auditor, Announces Multi-State Settlements with Major Broker-Dealers Over Excessive Retail Equity Commissions
FOR IMMEDIATE RELEASE Helena, Montana—James Brown, Montana Commissioner of Securities and Insurance, in coordination with securities regulators from Alabama, Iowa, Massachusetts, Missouri, Texas, and Washington, today announced national settlements with five major broker-dealer firms—Edward D. Jones & Co., L.P. (Edward Jones), LPL Financial LLC (LPL), RBC Capital Markets, LLC (RBC), Stifel, Nicolaus & Company, Inc. … Read more