Conflicts of Interest

The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...

As digital investment advice tools – so called robo-advisors – increasingly play an important role in wealth management, FINRA is cautioning that investor protection should ...

The SEC has brought its first-ever fiduciary duty case against a municipal advisor for failing to disclose a conflict of interest to a municipal client. ...

Three American International Group affiliates have been caught up in the SEC’s active probe of conflicts of interest and disclosure surrounding mutual fund share class ...

This proceeding arises from breaches of fiduciary duty and multiple compliance failures by Respondents Royal Alliance, SagePoint and FSC in their feebased advisory businesses. American International ...

For the first time since last summer, FINRA released March 4 seven new frequently asked questions tied to the SRO’s research rules. In this go ...

Investors in a hedge fund will be reimbursed nearly $3 million in losses suffered when they were misled about the fund’s investment strategy and historical ...

The latest Form ADV from DDJ Capital Management ($8B in AUM) in Waltham, Mass., discloses the adviser’s newest policy. Last year, it adopted a remuneration ...

A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in ...

From May 2008 to 2013, JPMS failed to disclose that it designed and operated Chase Strategic Portfolio, a retail unified managed account program, with a ...