Best Execution

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by Founders, a dually-registered investment adviser and broker-dealer, in connection with its mutual ...

Many have struggled to define “best execution” and an SEC Commissioner would like to see the Commission add some clarity. Elad Roisman is urging the ...

Commissioner Roisman pits market structure against market dynamics

These proceedings arise as a result of registered investment adviser LWM’s breaches of fiduciary duty and disclosure failures in connection with its recommendation and investment ...

Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual SEC ...

These proceedings arise out of improper mutual fund share class selection practices by registered investment adviser PPS and its majority owner, Lawrence Nicholas Passaretti. From ...

These proceedings arise from breaches of fiduciary duty and inadequate disclosures by TFS, a registered investment adviser and broker-dealer, Parker and Hartley in connection with ...

L&C’s policies and procedures did not include any factors it considered when selecting a broker for its clients or how it obtained the most favorable ...

Order routing and execution practices have morphed in a big way over the past 18 years as technology and innovation have yielded securities markets that ...

Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party broker-dealer (“Custodian A”) ...