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Articles Posted in Nicolaus & Co. RBC Capital Markets

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79 Investment Advisers To Give Over $125M Back to Mutual Fund Investors

79 investment advisors have settled charges brought by the US Securities and Exchange Commission (SEC) accusing them of not properly disclosing conflicts of interests involving the sale of costlier mutual fund share classes that caused them to earn more fees. The regulator’s action is related to its Share Class Section…

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