Tag: wrap fees

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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The nomination of Jay Clayton as the next SEC Chairman moved forward in the Senate this week. The Senate Banking Committee approved Mr. Clayton by a vote of 15 to 8 with three Democrats joining the Republicans in the majority. …

This Week In Securities Litigation (Week ending April 7, 2017) Read More »

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