An investment adviser settled charges with the SEC for breach of fiduciary duty after failing to properly evaluate whether leveraged exchange traded funds were in the best interests of its clients.
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An investment adviser settled SEC charges for failing to fully disclose compensation paid to its affiliated broker-dealer for certain mutual fund transactions and related conflicts of interest.
An investment adviser settled SEC charges for failing to fully disclose compensation paid to its affiliated broker-dealer for certain mutual fund transactions and related conflicts of interest.
An investment adviser settled SEC charges for disclosure and conflict of interest violations related to mutual fund share classes offered through a no-transaction fee program in wrap accounts.
A broker-dealer settled FINRA charges for supervisory failures over sales of higher fee mutual fund share classes.