Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result
A source shares with RCW an adviser's recent SEC document request letter from an exam
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
Here is a recent SEC exam letter sent to an advisory firm
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Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...
It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...