Search for: "Mutual Fund 7"
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29 Dec 2020, 9:44 am
This high risk, illiquid, closed-ended mutual fund was speculative at best, and was clearly unsuitable for the client’s investment objective. [read post]
22 Dec 2020, 9:43 am
Statements must be sent to investors in the fund within 120 days after the fund’s fiscal year-end. [read post]
8 Dec 2020, 12:44 pm
Boston, Massachusetts May 1991 – November 1992 John Hancock Mutual Life Insurance Company Boston, Massachusetts January 1990 – July 1990 *Hibbard Brown & Co., Inc. [read post]
7 Dec 2020, 10:16 am
The position begins in January 2021 and will last for twelve months, with the possibility of an eight-month extension by mutual agreement. [read post]
3 Dec 2020, 6:32 am
Reportedly, Securities America Advisors have a policy and procedure that allows properly licensed investment advisors to make discretionary trades on no-load mutual funds, load funds at net asset value, variable annuity sub-accounts, stocks, bonds, and covered equity options. [read post]
3 Dec 2020, 6:32 am
Reportedly, Securities America Advisors have a policy and procedure that allows properly licensed investment advisors to make discretionary trades on no-load mutual funds, load funds at net asset value, variable annuity sub-accounts, stocks, bonds, and covered equity options. [read post]
2 Dec 2020, 7:03 am
Your typical stock or mutual fund offers 1%-2% commission. [read post]
1 Dec 2020, 12:48 pm
At times between January 1, 2014 and June 7, 2018 the firm allegedly purchased, recommended, or held for advisory clients mutual fund share classes that charged 12b-1 fees instead of lower-cost share classes of the same funds for which the clients were eligible. [read post]
1 Dec 2020, 11:26 am
Allegedly, Cynthia Cowden recommended the customer purchase $250,000 of Priority Income Fund, a speculative, high risk, illiquid, closed-ended mutual fund. [read post]
1 Dec 2020, 11:26 am
Allegedly, Cynthia Cowden recommended the customer purchase $250,000 of Priority Income Fund, a speculative, high risk, illiquid, closed-ended mutual fund. [read post]
18 Nov 2020, 7:22 am
The specific issues highlighted in the Risk Alert report included: deficiencies related to oversight of investment recommendations, often related to mutual funds that charged 12b-1 fees, wrap fee programs, and automated rebalancing of accounts; issues related to conflicts of interest, such as expense allocation and failure to disclose financial incentives for advisers; and lack of documentation regarding analysis for best execution, completing principal transactions involving… [read post]
16 Nov 2020, 6:16 am
If any amount remained in the settlement fund following distribution of all claimants’ awards, such sums would be donated by Bear to the New York Times 9/11 Fund. [read post]
12 Nov 2020, 5:00 am
Here, staff identified issues with mutual fund share class selection and disclosure; wrap fee programs; and rebalancing. [read post]
4 Nov 2020, 9:21 am
Chinese regulators have since issued new regulations targeting financial technology companies, requiring additional financial disclosures ahead of IPOs and imposing new restrictions on lending practices Ant Group operates as a “virtual financial services mall for everything from loans to mutual funds, insurance policies and travel bookings. [read post]
31 Oct 2020, 1:26 pm
Several of Agent Reed’s customers have complained that he sold them unsuitable investments in private placements, oil and gas investments, hedge funds, and mutual funds and over-concentrated their accounts in private placements. [read post]
26 Oct 2020, 2:54 am
As part of the scheme, FIP allegedly used new investor funds to make payments to earlier investors to keep the scheme operating smoothly. [read post]
26 Oct 2020, 2:54 am
As part of the scheme, FIP allegedly used new investor funds to make payments to earlier investors to keep the scheme operating smoothly. [read post]
20 Oct 2020, 5:00 am
2020 NY Slip Op 32563(U) August 7, 2020 Supreme Court, New York County Docket Number: 155996/2019 Judge: W. [read post]
16 Oct 2020, 6:41 am
Private Funds Risk Alert. [read post]
13 Oct 2020, 7:50 am
” As of Oct. 7, 1,710 PLA aircraft and 1,029 PLA vessels have entered Taiwan’s ADIZ this year. [read post]
