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09/28/15 9:50 PM

#37757 RE: EarnestDD #37753

A current and a former unit of E*Trade Financial Corporation will pay $2.5 million to settle charges that they ignored red flags and improperly sold billions of unregistered penny stock shares on behalf of customers,

improperly sold billions of unregistered penny stock shares



http://mobile.reuters.com/article/idUSKCN0HY1YC20141009