The firm's brochure made no disclosure regarding the incentive for financial advisors to put and keep client assets in PM Program strategies to help the ...
JP Morgan Securities self-reported the issue to the Commission staff, undertook an investigation to confirm that there were no other Clone Pairs available for recommendation ...
In its representations to the Board and in the ESG Funds’ Prospectuses, WisdomTree did not describe the limitations of the data sets it used from ...
The firm's compliance officials also erred in not recommending that the adviser also become a registered B-D
Owner suspended six months for ignoring red flags in hiring a rep who turned out to be a fraudster. The rep will likely spend the ...
This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...
Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result
G.A. Repple did not adequately disclose all material facts regarding its share class selection practices and the conflicts of interest that arose when it recommended ...
There were no P&Ps for Marathon employees to conduct due diligence concerning advisers’ evaluation or handling of any potential MNPI or for obtaining a representation ...
Cetera did not require the reps to place aggregated orders through internal systems, which would have prevented the post-trade allocations from being made