SEC Fines Adviser Over Conflicts Of Interest, Disclosures
By Katryna Perera ( October 30, 2026, 9:38 PM EDT) -- A New York investment adviser will pay the U.S. Securities and Exchange Commission $364,000 to resolve claims it breached its fiduciary duty to clients by failing to disclose conflicts of interest involving its affiliated broker-dealer's receipt of revenue-sharing compensation and by including misleading liability disclaimer language in its advisory agreements....
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