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Hunter Scott Financial Fined By Florida Office Of Financial Regulation

On March 14, 2013, the Florida Office of Financial Regulation (OFR) fined Hunter Scott Financial, LLC, of Delray Beach, FL, $20,000 for violations of Section 517.161 Florida Statutes.

The Florida OFR found that during 2010-2012, Hunter Scott overcharged customers fees of $125,000 in violation of Florida Statutes, the Florida Administrative Code, FINRA Conduct Rule 2010, NASD Conduct Rules 2110 and 2430 and Rule 10b-10 of the Securities Exchange Act of 1934.

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