Three investment advisory firms and two dually registered broker-dealer and advisory firms settled SEC charges for improper sales of volatility-linked exchange-traded products.
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A brokerage firm settled SEC charges for supervisory failures related to a registered representative's misappropriation of an elderly client's funds.
A broker-dealer settled charges with the SEC for failing to ensure that the firm's representatives were providing suitable recommendations.
A broker-dealer and investment adviser agreed to settle SEC charges concerning allegations that the firm disadvantaged retirement account customers and failed to provide sales charge waivers.
A broker-dealer settled charges regarding misconduct in the sale of market-linked investments to retail investors.