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.
News & Insights
109 News Results
An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.
The SEC charged an investment adviser and its principal trader for manipulative trading by mismarking orders and engaging in "naked" short selling.
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.