Dual Registrants

Failures tied to share class selection calculator trip up dual registrant

A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...

SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commission v. Cetera Advisors, LLC, ...

The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated some $100 ...

Nearly a year after being charged by the SEC with failing to supervise a registered rep alleged to have been involved in a long-standing pump-and-dump ...

Promises of a high level of service at a low cost are always enticing but sometimes those promises prove empty. Such was the case for ...

Open up Aegis Capital’s ($507M in AUM) latest Form ADV brochure and you’ll read this very intriguing nugget under material changes: The Firm has been ...

The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last April, but investors ...

It’s always best when the left hand knows what the right hand is doing. That doesn’t appear to have been the case with TD Ameritrade’s ...

Aegis Capital’s written supervisory procedures were clear: The firm’s anti-money laundering compliance officer was responsible for filing suspicious activity reports on behalf of the dual ...