Mutual Funds

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 ...

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

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser Northeast Asset Management, LLC in connection with its mutual ...

These proceedings arise out of breaches of fiduciary duty and inadequate disclosures by registered investment adviser EFG Asset Management (Americas) Corp. in connection with its ...

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