12b-1 Fees

The Commission considered that Respondent self-reported its conduct to the Commission pursuant to the SCSD Initiative

Merrill was required to give its clients sufficient information so that they could understand the conflicts of interest

SEC claims adviser failed at its fiduciary duty; advisers fires back

Case suggests what type of fine an adviser may face for having not self-reported

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Michigan Advisors, Inc. in connection with its mutual fund ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser INVP in connection with its mutual fund share class ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment advisers HTS and HTIN in connection with mutual fund share ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Essex Financial Services, Inc. in connection with its mutual ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Folger Nolan Fleming Douglas Capital Management, Inc. in connection ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Equity Services, Inc. in connection with its mutual fund ...