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Articles Posted in Santander

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Santander Securities to Pay $6.4M Over Puerto Rico Muni Bond and Closed-End Fund Sales

The Financial Industry Regulatory Authority (FINRA) says that it is ordering Santander Securities LLC (Santander) to pay $6.4M for supervisory failures involving the sale of Puerto Rico Municipal Bonds and Puerto Rico closed-end funds. Of the payment to FINRA, $2 million is a fine and censure and over $4.3 million…

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