Tag: Advisors

SEC — Advisor Overcharged Clients

The retail investor focus of SEC Enforcement has accelerated the recent trend of filing actions against investment advisers. Indeed, the number actions involving advisers has steadily increased to the point where it may eclipse those of all other categories. That

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Results from the SCSDI: $125M for Investors, No Penalty for 79 Advisers

The retail investor focus of the current SEC Enforcement Program was on full display as the Division announced the return of over $125 million to investors from advisers participating in the Share Class Selection Disclosure Initiative announced about one year

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