mutual fund sales charge abuse Archives

Rex Securities Law
January 12, 2016
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Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 12, 2016 January 12, 2016

October 27, 2015 Stephens, Inc. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

Rex Securities Law
September 21, 2015
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FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 21, 2015 April 11, 2016

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…