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 charges with the SEC for inaccurately describing investments in periodic reports.
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 annuities firm agreed to settle FINRA charges for misrepresenting the nature of a portfolio containing several retirement bond funds.
A broker-dealer settled charges with FINRA for causing customers to overpay in excess sales charges and fees on their accounts.