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12b-1 Fees

BFC’s Form ADV Part 2A brochures disclosed that advisory clients “may incur” 12b-1 fees, and that because IARs “may receive 12b-1 fees … there is ...
By causing certain advisory clients to invest in share classes of mutual funds that charged 12b-1 fees or share classes of money market funds that ...
Narrative, structural complexities invariably hid higher fees, academics find
JWCA, although eligible to do so, did not self-report this 12b-1 fee related conflict of interest to the Commission pursuant to the Division of Enforcement’s ...
The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...
Graham Bordelon caused its clients to receive credits on 12b-1 fees back to their accounts and began a process of converting its clients’ mutual fund ...
SCF failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in connection ...
Three VALIC employees worked to steer union members to the advisory firm while being “deceptively identified” as union employees
In March of 2017, VFA disclosed for the first time the receipt of Revenue Sharing, but still did not fully and fairly disclose that conflict ...
For two Clients who explicitly requested that Vescio disclose the fees charged, Vescio negligently failed to include 12b-1 fees
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