Tag: Mutual Fund overcharges
Berthel, Fisher and Co.: Complaints and Regulatory Actions
The White Law Group reviews the regulatory history of Berthel, Fisher and Company Financial Services. The following is a review of...
Private Advisor Group LLC settles with SEC for $5.8 Million
SEC Charges Private Advisor Group with Alleged violations related to Mutual Fund Share Class selection and 12b-1 Fees According to an...
SEC: 16 Advisory Firms to Pay Nearly $10 Million to Investors
SEC Settles Charges for Mutual Fund Disclosure Failures According to a press announcement on Sept. 30, the Securities and Exchange...
FINRA Settles with 56 Firms over Mutual Fund Waiver Initiative
56 Settlements with Member Firms & $89 Million in Restitution According to a press announcement on Wednesday, the Financial Industry...
Janney Montgomery Scott | Supervisory Failures
Janney Montgomery Scott Sanctioned for Supervisory Failures with Mutual Fund Charges According to the Massachusetts Securities Division,...
MML Investor Services, to Pay $1.8 M in Restitution
According to FINRA, MML Investors Services, LLC (MMLIS) allegedly overcharged 792 customers on sales of mutual funds and have been ordered...
