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8 Sep 2023, 12:51 pm
Ameriprise Financial Censured & Fined $4.5 Million Ameriprise Sanctioned for Overcharging Retirement Customers March 2018 – Ameriprise Financial Services Inc. has agreed to settle charges with the SEC for recommending and selling higher-fee mutual fund shares to retail retirement account customers while failing to provide appropriate sales charge waivers. [read post]
6 Sep 2023, 9:20 pm
This settlement arises from allegations of improper expense reimbursements made to external advisors of Lodging Opportunity Real Estate Investment Trust and Lodging Fund REIT III Inc. [read post]
1 Sep 2023, 6:44 am
Filed on 1/28/2008, this claim alleged that Saw failed to follow the client’s request to sell mutual funds, resulting in a loss of $11,636.54 after the trading was adjusted. [read post]
30 Aug 2023, 6:30 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Wednesday, August 30, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
30 Aug 2023, 6:30 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Wednesday, August 30, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
29 Aug 2023, 12:32 pm
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
27 Aug 2023, 7:49 pm
July 2019 – The Financial Industry Regulatory Authority (FINRA) reportedly censured and fined Western International Securities for overcharging customers on mutual fund transactions placed in customers’ accounts. [read post]
25 Aug 2023, 11:47 am
Censured & Fined July 2018 – FINRA sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system in connection with variable annuities. [read post]
21 Aug 2023, 3:39 am
This enforcement action elicited a dissent from Commissioners Peirce and Uyeda, who said that the undertakings effectively impose a new disclosure requirement on mutual funds (In the Matter of DST Asset Manager Solutions, Inc., Release No. 34-98153, August 17, 2023).Lost securityholders. [read post]
18 Aug 2023, 10:59 am
Similarly, if crypto is a security, a commodity future, or something other than a “fund” the EFTA’s regulations might not apply. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
16 Aug 2023, 9:04 am
Securities America Inc. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
28 Jul 2023, 1:02 pm
In September of 2019, Vereit Inc., a publicly traded REIT formerly known as American Realty Capital Properties (ARCP) founded by Nicholas Schorsch and his partners at AR Global (formerly AR Capital), agreed to pay a total of $738.5 million to settle a class action lawsuit. [read post]
28 Jul 2023, 4:45 am
Aviva Canada Inc, 2018 BCCA 98). [read post]
28 Jul 2023, 4:45 am
Aviva Canada Inc, 2018 BCCA 98). [read post]
24 Jul 2023, 10:00 pm
., Inc., 143 S. [read post]
24 Jul 2023, 10:00 pm
., Inc., 143 S. [read post]
20 Jul 2023, 1:25 am
Rogers Group, Inc. , 548 So. 2d 740, 741 (Fla. 1st DCA 1989) (finding construction laborer’s injuries arising from personal lunch debt was compensable as employment placed construction workers in close proximity, combatants’ relationship originated at work, and wood used in altercation was implement of employment); Sentry Ins. [read post]
5 Jul 2023, 12:52 pm
Hightower Securities allegedly failed to reasonably supervise certain representatives’ recommendations of the LJM Preservation & Growth Fund (LJM), an alternative mutual fund, between March 18, 2016, and February 8, 2018. [read post]
