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Dual Registrants

A failure to deliver final prospectuses in shelf offerings triggers enforcement action
Communications to fund boards' on arrangement considered misleading
"Include any considerations and limitations on making recommendations to retail customers (including when recommendations must be documented) and the disclosures must be made to retail ...
The fact that the recipient of the recommendation is a regulated financial services industry professional would not excuse a firm from complying with Regulation Best ...
"This may create incentives to act against your best interest to generate trading profits or minimize losses"
All of STAS’s investment advisory programs require brokerage accounts to be opened with STIS and for additional information, including account minimums, visit (www.suntrust.com/stasamc)
Our representatives receive a cash bonus based on how much their overall revenue (the total commissions and fees they charged to their clients) has increased ...
In a brokerage account (Account), you pay commissions and other sales fees on a per transaction basis. We may recommend investments for your Account, but ...
For standalone financial planning, we do not monitor your account unless we agree in writing to do so
The information in this Form CRS is subject to the more complete terms and conditions of our brokerage or investment advisory agreements and disclosures (including ...
Your Investment Professional has an incentive to recommend transfers or rollovers of existing accounts into your Davenport advisory account to increase the amount of assets ...
The dual registrant will now pay a $5 million penalty
Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...
New issue municipal bonds were improperly obtained
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
Jay Costa Kelter was sentenced to a prison term of 29 months
Failures tied to share class selection calculator trip up dual registrant
A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...
SEC Charges Investment Adviser with Defrauding Its Advisory Clients Litigation Release No. 24581 / August 29, 2019 Securities and Exchange Commission v. Cetera Advisors, LLC, ...
The SEC has charged a Massachusetts dual registrant, alleging that the firm failed to disclose a revenue sharing conflict of interest that generated some $100 ...
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