Tag: wrap fees

Undisclosed Fees, Conflicts Yield SEC Sanctions for Adviser

Undisclosed conflicts, fees and overcharges have become a recurring theme in Commission cases involving investment advisers. Frequently these cases arise out of inspections by OCIE. See, e.g., In the Matter of Credit Suisse Securities U.S.A), LLC, Adm. Proc. File No.

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This Week In Securities Litigation (Week ending May 12, 2017)

New Chairman Jay Clayton began at the agency this week. There are now three Commissioners, at least until early June when the term of another Commissioner expires. The Administration has not nominated anyone to fill the remaining open seats at

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