To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
$125k penalty against adviser over mutual fund share class allocations
In September 2019, after being contacted by Commission staff, Cascade began rebating 12b-1 fees to clients going forward. Cascade has also reimbursed to clients all 12b-1 fees that Cascade and its IARs received during the Relevant Period, plus interest
