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.
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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.
A broker-dealer and its affiliated investment advisers settled SEC charges for providing securities services to mutual funds in violation of the ineligibility provisions of the Investment Company Act.
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.