A Blast from the Past: The SEC Fines Investment Adviser/Broker-Dealer for Breakpoint Violations
By EsqSocial Corporation 11/04/14
In a case reminiscent of the “breakpoint” enforcement actions brought 10 years ago by securities regulators, the SEC recently found that a registered investment adviser and broker-dealer overcharged clients because it improperly calculated advisory...
By: Morrison & Foerster LLP - Broker-Dealer