Best Execution

Certain MMLIS and MSI advisory clients to invest in share classes of mutual funds in the Clearing Broker’s NTF and TF Programs that resulted in ...

'A regulator who always says "no" is not serving investors well,' Peirce says.

Paradigm routinely selected higher cost Class A shares instead of lower cost mutual fund share classes for which clients were eligible, and thereby avoided incurring ...

In its Form ADV dated March 26, 2018, before NWA wound down its adviser services, NWA reported that it had $362 million in regulatory assets ...

This arrangement created an incentive for ISCA to leave client cash in one of these three cash options over other investments

First Heartland had a conflict of interest when recommending certain money market funds to its clients: it had an incentive to recommend cash sweep products ...

Share class selection, fee markup practices, and best execution all cited in enforcement action

In September 2019, after being contacted by Commission staff, Cascade began rebating 12b-1 fees to clients going forward. Cascade has also reimbursed to clients all ...

As an investment adviser, Kestra PWS was obligated to disclose all material facts to its advisory clients, including any conflicts of interest between itself or ...

To meet this fiduciary obligation, Kestra AS was required to provide its advisory clients with full and fair disclosure that was sufficiently specific so that ...