Search Results | Showing 91 - 100 of 233 results for "Exchange Commission" |
| | According to documents filed with the Securities and Exchange Commission, Vanguard is launching a new digital-only financial planning service through Vanguard Advisors. The offering, which is being piloted, will be called Vanguard Digital Advisor and ... |
| | | ... Tallahassee-based Cambridge Capital Group Advisors and its two former principals have been charged by the Securities and Exchange Commission with defrauding investors, most of which were retired NFL players. The firm and its then-principals Philip Timothy ... |
| | | ... portfolio managers. Rege mispriced the investments of a private fund from June 2016 to April 2017, Securities and Exchange Commission orders said. As a result of this, the fund's net asset value sent out to investors in periodic statements was overstated ... |
| | | ... of commercial and residential mortgage backed securities (CMBS and RMBS), according to the Securities and Exchange Commission. "Several Nomura traders misled customers about the prices at which Nomura had bought securities, the amount of profit Nomura ... |
| | | ... settlement, State Street Bank and Trust Company has paid $125 million (USD88 million) after the Securities and Exchange Commission brought charges against the institution for routinely overbilling clients between 1998 and 2015. The overcharges included ... |
| | | The US Securities and Exchange Commission has adopted a package of fiduciary rules to protect retail investors from financial advisers who put their self-interests first. Under the new rules called Regulation Best Interest and Form CRS Relationship ... |
| | | ... the US securities regulator softens its stance on daily disclosures for the segment. The U.S. Securities and Exchange Commission last week allowed an ETF provider to trade active ETFs without making daily disclosures. The SEC had previously rejected ... |
| | | ... retail customers after a regulatory clampdown on inadequate fee disclosures last year. The Securities and Exchange Commission charged 79 people, including well-known names such as AXA Advisors, Deutsche Bank Securities, LaSalle St. Investment Advisors ... |
| | | ... returns annually generated from issuing loans to third-party commercial property owners, the US Securities and Exchange Commission alleged. Many of the investors were seniors, investing their retirement savings. In reality, Woodbridge was relying on ... |
| | | ... Mayweather and music producer DJ Khaled have become the first people to be charged by the US Securities and Exchange Commission for the unlawful promotion of initial coin offerings. Floyd Mayweather and DJ Khaled - real name Khaled Mohamed Khaled - have ... |
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