G.A. Repple did not adequately disclose all material facts regarding its share class selection practices and the conflicts of interest that arose when it recommended ...
There were no P&Ps for Marathon employees to conduct due diligence concerning advisers’ evaluation or handling of any potential MNPI or for obtaining a representation ...
Cetera did not require the reps to place aggregated orders through internal systems, which would have prevented the post-trade allocations from being made
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Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...
It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...
Williams, the firm’s CEO/CCO, 'failed to provide the Commission with evidence to corroborate' the Form ADV filing claiming trillions in AUM
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