Mutual Funds

JP Morgan failed to provide available sales charge waivers in at least 58,000 transactions involving approximately 16,734 accounts

Questions would like to hear from the industry on detailed

Rulemaking recommendation on new disclosure framework for variable products coming

MS sold customers more expensive share classes when less expensive share classes were available

SEC claims adviser failed at its fiduciary duty; advisers fires back

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Michigan Advisors, Inc. in connection with its mutual fund ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser INVP in connection with its mutual fund share class ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment advisers HTS and HTIN in connection with mutual fund share ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Essex Financial Services, Inc. in connection with its mutual ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Folger Nolan Fleming Douglas Capital Management, Inc. in connection ...