(Reuters) - A Houston-based investment advisory firm steered clients to certain mutual funds without disclosing that it was receiving payments from the broker who offered those funds, the U.S. Securities and Exchange Commission alleged in a civil fraud complaint on Tuesday.

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BING NEWS:
  • SEC Charges Five Registered Investment Advisers for Marketing Rule Violations
    The US Securities and Exchange Commission (“SEC”) recently settled charges against five ... invest in mutual funds and pay the fund’s management fees as well as advisory fees to their investment ...
    04/18/2024 - 12:05 pm | View Link
  • $6.5 Million Texting Penalty: Investment Adviser Charged by SEC for Recordkeeping Failures
    Additionally, the adviser failed to enforce their code of ethics requiring pre-clearance for all securities transactions in employees’ personal accounts. The regulatory basis for the SEC’s charges ...
    04/14/2024 - 1:00 pm | View Link
  • Morningstar's U.S. Fund Fee Study
    Mutual fund investors have saved billions in fund fees over the past two decades. In 2022, the average expense ratio of all U.S. open-end mutual funds and exchange-traded funds was 0.37% ...
    04/9/2024 - 1:48 pm | View Link
  • U.S. investors successfully demand RBC change how it reports on green, fossil fuel investments
    environmental group Climate finance director Richard Brooks with environmental group Stand.earth said he was surprised to see RBC change its mind on disclosing energy investment ratios.
    04/5/2024 - 9:00 pm | View Link
  • Is Russia’s New U.S. Propaganda Star Wanted on Child Porn Charges in Rhode Island?
    A Russian government insider, who spoke on the condition of anonymity, said he believed the Defense Ministry was well aware of the charges against Puello in the U.S. “They all are aware.
    04/4/2024 - 4:00 am | View Link
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