SEC Whacks GW & Wade for Rule 12b-1 Fees, Too
By EsqSocial Corporation 13/11/13
Before turning back to SEC CustodyFest, volumes 2 and 3, I’d like to focus for a bit on another aspect of the SEC’s October administrative case against GW & Wade. In addition to the custody rule issues, the SEC found that the firm overcharged some of...
By: Brooks Pierce