Year: 2017

The Commission has brought a series of actions against investment advisers tied to wrap fee programs. Typically, the actions alleged either that clients were not told the magnitude of fees when an adviser “traded away” or that excessive fees were …

SEC: Barclays Charged Excessive Fees In Wrap Fee Program Read More »

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In the first quarter of 2017 there was a record number of securities class actions filed, according to a new report by Cornerstone Research (here). In the first quarter of this year 127 securities class actions were filed compared to …

Surge In Securities Class Action Filings Reported In First Quarter Read More »

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