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Tag: Mutual Fund overcharges

Blog, Current Investigations

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...

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Current Investigations

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...

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Blog, Current Investigations

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...

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Blog, Securities Fraud

Janney Montgomery Scott | Supervisory Failures

Janney Montgomery Scott Sanctioned for Supervisory Failures with Mutual Fund Charges According to the Massachusetts Securities Division,...

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Blog

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...

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Blog, Securities Fraud

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

Five brokerage firms were ordered to reimburse clients more than $18 million for overcharges associated with certain mutual funds. The...

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