Best Execution

This matter concerns breaches of fiduciary duty and best execution to certain advisory clients of a dually registered investment adviser and broker-dealer.

This proceeding arises from a fraudulent scheme to secretly pay trading commissions to Dennis Malouf, the former chief executive officer and majority owner of UASNM, Inc. ...

This proceeding arises from misconduct with respect to client bond trading by UASNM, Inc. (“UASNM”), a registered investment adviser, and its former chief executive officer and ...

One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...

This adviser settled a case about undisclosed compensation and a failure to seek best execution. The SEC says the adviser transacted through his wife, a ...

The SEC's latest message via best execution enforcement drills a dually-registered firm with fines and penalties in excess of $1 million for purchasing fund shares ...

This firm settled with the SEC for violations having to do with charging avoidable 12b-1 fees and for not seeking best execution.

You seldom see the SEC pressing enforcement actions against advisers for best execution violations yet two such cases just popped up (IA Watch, Aug. 5, ...

The argument that a CEO shouldn't also be a firm's CCO got a lot stronger as the SEC has mandated that a specific adviser must ...