A broker-dealer and a former representative settled FINRA charges for suitability and supervisory failings concerning recommendations involving Unit Investment Trusts and preferred stock of a real estate investment trust.
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Two affiliated investment advisers settled SEC charges for failing (i) to disclose conflicts of interest associated with certain revenue sharing agreements and (ii) to seek best execution for their clients.
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.