12b-1 Fees

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 shares”)).3 An ...

Respondent failed to disclose in its Form ADV or otherwise the conflicts of interest related to (a) its receipt of 12b-1 fees, and/or (b) its ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser CUSO Financial Services, L.P. in connection with its mutual ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser AXA Advisors, LLC in connection with its mutual fund ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Woodbury Financial Services, Inc. in connection with its mutual ...

Respondent and its affiliated broker received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or otherwise the conflicts ...

Respondent NBC Securities, Inc., incorporated in Alabama and headquartered in Birmingham, Alabama, has been dually registered with the Commission as an investment adviser and broker-dealer ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Kovack Advisors, Inc. in connection with its mutual fund ...

Respondent and its associated persons received 12b-1 fees in connection with these investments. Respondent failed to disclose in its Form ADV or otherwise the conflicts ...

At times during the period January 1, 2014 to March 31, 2018 (the “Relevant Period”), Respondent purchased, recommended, or held for advisory clients mutual fund ...