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Mutual Funds: Fees (126)
Your search for Mutual Funds: Fees returned 126 results.
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9/05/2019 | Content area: Investment Adviser
A lawsuit filed Aug. 29 in federal court claims an adviser breached its fiduciary duty obligations by placing clients in higher fee mutual fund share ...
8/08/2019 | Content area: Investment Adviser
OCIE examiners visited the mutual fund adviser with one goal: to assess if the fees it receives for shareholder services were legit. “If you’re colle...
4/11/2019 | Content area: Investment Adviser
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Ano...
3/21/2019 | Content area: Investment Adviser
Three separate 401(k) investors have joined to file a new federal lawsuit claiming Fidelity violates its fiduciary duty and ERISA by charging mutual f...
3/19/2019 | Content area: Investment Adviser
The SEC orders the recipient to preserve records and to submit information to help the agency's investigation.
3/19/2019 | Content area: Investment Adviser
This letter goes beyond 12b-1 fees to look at broader "revenue sharing."
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
Respondent and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or other...
3/11/2019 | Content area: Investment Adviser
Respondent was obligated to disclose all material facts to its clients, including any conflicts of interest between itself and/or its associated perso...
3/11/2019 | Content area: Investment Adviser
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...
3/11/2019 | Content area: Investment Adviser
Mutual funds typically offer investors different types of shares or “share classes.” Each share class represents an interest in the same portfolio of ...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Raymond Lawrence Lent (dba The P...
3/11/2019 | Content area: Investment Adviser
Many mutual funds also offer share classes that do not charge 12b-1 fees (e.g., “Institutional Class” or “Class I” shares (collectively, “Class I shar...
3/11/2019 | Content area: Investment Adviser
Respondent was required to give its clients sufficient information so that they could understand the conflicts of interest of the Respondent concernin...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser D.A. Davidson & Co. in connectio...
3/11/2019 | Content area: Investment Adviser
Respondent advised clients to purchase or hold4 mutual fund share classes that charged 12b-1 fees when lower-cost share classes of those same funds we...
3/11/2019 | Content area: Investment Adviser
some mutual fund share classes charge 12b-1 fees to cover fund distribution and sometimes shareholder service expenses. These recurring fees, which ar...
3/11/2019 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Spire Wealth Management, LLC in ...
3/11/2019 | Content area: Investment Adviser
Respondent self-reported to the Commission the violations discussed in this Order pursuant to the Division of Enforcement’s (the “Division”) Share Cla...


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