Tag: fees

The retail brokerage focus of the Enforcement Division is readily apparent in its latest case. There a dual registered investment adviser broker-dealer misrepresented its services and charges to clients, repeatedly over-charging and under serving them for years. The disgorgement, prejudgment …

SEC, Advisor-Broker Settle Retail Customer Overcharges Read More »

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Last week began and ended in the same way for the Commission’s Enforcement Division – with settled proceedings based on adviser conflicts built on false statements that disadvantaged clients. At the beginning of the week the Commission announced the settlement …

SEC Charges Another Adviser With Failing to Disclose Conflicts Read More »

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