Conflicts of Interest

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 ...

JPMCB failed to fully disclose its preference for investing its client funds in certain commodity pools or exempt pools, namely hedge funds and mutual funds ...

Yet another SEC case charges an investment adviser for placing its own financial interests ahead of its clients and for attendant disclosure failures – and ...

A San Francisco-based private equity fund adviser has been charged with negligent breaches of fiduciary duty for disclosure failures tied to undisclosed loans and cross-over ...