Tag: securities fraud attorneys
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...
Equitable Financial settles with SEC for $50 Million
SEC Charges Equitable Financial with Providing Misleading Account Statements to Investors According to a press announcement on June 18,...
GAO calls for FINRA Oversight Changes to Protect Investors
The Government Accountability Office (GAO) has called on the Securities and Exchange Commission (SEC) to make oversight changes to...
McDermott Investment Advisors held Liable
SEC Charged McDermott Investment Advisors with ‘double-dipping’ with advisory fees, transactional costs According to...
UBS Settles Fraud Charges over YES Options Trading Strategy
UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading Strategy, YES (Yield Enhancement Strategy) According...
FINRA Sanctions United Planners for Unsuitable GPB Sales
FINRA Censures and Fines United Planners for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority...
