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William Blair & Company

William Blair and Company to Pay $4.5 Million Fine to Regulator

William Blair and Company to Pay $4.5 Million Fine to Regulator 150 150 Rex Securities Law

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

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William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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