Mutual Fund overcharges
Tag Archive

SEC: 16 Advisory Firms to Pay Nearly $10 Million to Investors, featured by top securities fraud attorneys, The White Law Group October 2, 2019

SEC: 16 Advisory Firms to Pay Nearly $10 Million to...

SEC Settles Charges for Mutual Fund Disclosure Failures According to a press

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FINRA settles with 56 Firms for mutual fund overcharges, Featured by Top Securities Fraud Attorneys, The White Law Group July 19, 2019

FINRA Settles with 56 Firms over Mutual Fund Waiver Initiative

56 Settlements with Member Firms & $89 Million in Restitution According to a

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Janney Montgomery Scott Supervisory Failures, Featured by Top Securities Fraud Attorneys, The White Law Group May 9, 2019

Janney Montgomery Scott | Supervisory Failures

Janney Montgomery Scott Sanctioned for Supervisory Failures with Mutual Fund Charges

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November 16, 2016

MML Investor Services, to Pay $1.8 M in Restitution

According to FINRA, MML Investors Services, LLC (MMLIS) allegedly overcharged 792

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October 30, 2015

Five Firms Ordered to Pay $18M for Mutual Fund Overcharges

Five brokerage firms were ordered to reimburse clients more than $18 million for

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