Conflicts of Interest

Compliance issues were tied to the supervision of outside brokerage accounts and the flow of information between research analysts and trading personnel

Transamerica Retirement Advisors paid incentive compensation to its Retirement Planning Consultants for referring employer plan participants to its investment advisor reps

The firm's use of the letter was also improper because it required its clients, all of whom are retail clients, to agree to a waiver ...

These transactions were known within Rose Park both leading up to and at the time of signing the documents in March 2021, including by the ...

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 ...

Fusion failed to retain emails sent from 2019 through mid-2021 for over 60% of its IARs, including client correspondence it was required to retain. It ...

Brighton did not disclose the incentives related to the Clearing Agreement to its advisory clients and prospective clients until June 2022 when it revised its ...

International Assets Advisers failed to provide full and fair disclosures regarding compensation and financial incentives that its affiliated B-D received from a clearing broker

Barclays twice self-reported violations of the rules relating to research analyst conflicts of interest leading to a $700K fine

The adviser failed to both adopt and implement P&Ps regarding investor communications that could have prevented the violations