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Tag: AXA Advisors

Home Tag: AXA Advisors

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

Mar192019ccollinsAmericas Investment, AXA Advisors, BOK Financial Securities, Deutsche Bank Securities, LPL Financial, Next Financial Group, Nicolaus & Co. RBC Capital Markets, Oppenheimer & Co., Popular Securities, Questar Asset Management, Raymond James Financial Services Advisors, Robert W. Baird & Co., Santander Securities, Stifel, Wells Fargo Advisors Financial Network, Woodbury Financial Services

79 investment advisers 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 Disclosure Initiative. Announced by the…

Edward Jones, AXA Advisors, Stifel Nicolaus, and Others to Pay $13M to Retirement Accounts, Charities for Mutual Fund Overcharges

Oct272015SSEK LawAXA Advisors, Charities, Edward Jones, Retirement Accounts

The Financial Industry Regulatory Authority says that another five firms must pay restitution to specific retirement and charitable accounts for overcharging them for mutual funds. Edward D. Jones will pay $13.5M, Stifel Nicolaus (SF) will pay $2.9M, AXA Advisors will pay $600K, Janney Montgomery Scott will pay $1.2M, and Stephens Inc. will pay $15K. The…

CALL US!800-259-9010

CALL US!800-259-9010

Tag: AXA Advisors

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

Edward Jones, AXA Advisors, Stifel Nicolaus, and Others to Pay $13M to Retirement Accounts, Charities for Mutual Fund Overcharges

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