October 2017 – SEC ACTIONS

Month: October 2017

SEC Files Fraud Charges Centered on Retail Accounts

Posted on October 30, 2017 by T. Gorman Posted in SECActions

Last week the co-director of SEC Enforcement discussed the Retail Strategy Task Force which will focus on the protection of retail investors. This week the Commission announced a case involving the intrusion into at least 110 retail accounts by stock …

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Tagged with: account intrusion, manipulation, SEC

SEC Sanctions UBS Re Sales Practices

Posted on October 29, 2017 by T. Gorman Posted in SECActions

The Commission has brought a series of cases involving investment advisers, broker-dealers and the fees charges to clients. Typically the clients are disadvantaged by not being informed about or given the opportunity to purchase mutual fund shares at the most …

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Tagged with: conflicts, procedures, SEC

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