The SEC has settled charges against a registered investment adviser for breach of fiduciary duty to clients for failures regarding conflicts disclosure, best execution, and duty of care.
March 07, 2022
The SEC is suing a Missouri adviser for allegedly investing client assets in expensive mutual fund share classes to avoid paying transaction fees.
October 06, 2021
New SEC Share Class Disclosure Cases Involve Wrap Fee Programs, Expense-Sharing Agreement Two Advisers Agree to Pay Over $3 Million to Settle Charges September 3, 2021 The SEC has...
September 03, 2021
SEC Adds Lack of Disclosure of Margin Interest Mark-Ups to Share Class-Related Violations August 4, 2021 In another case that underscores the SEC’s harsher findings and penalties for share...
August 04, 2021