12b-1 Fees

At times during the period January 1, 2014 to March 31, 2018 (the “Relevant Period”), Respondent purchased, recommended, or held for advisory clients mutual fund ...

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

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Northeast Asset Management, LLC in connection with its mutual ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser EFG Asset Management (Americas) Corp. in connection with its ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser BB&T Securities, LLC in connection with its mutual fund ...

Respondent, its related/affiliated broker and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or ...

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

Respondent, its related/affiliated broker, and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser First Kentucky Securities Corporation in connection with its mutual ...

Respondent and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or otherwise the conflicts ...