RIAs Must Make Good on Fee Refunds and Fully Disclose Their Financial Condition
by Ara Jabrayan | Aug 22, 2019 | Code of Ethics, Investment Advisers Act, RIA Compliance, SEC Investment Adviser Compliance, SEC Rules, State Investment Adviser Compliance
On July 20, 2018, the SEC announced the settlement of charges against a Beverly Hills-based Registered Investment Adviser (RIA) and its majority owner, because the firm improperly refused to refund unearned advisory fees to 63 clients who left the firm. The RIA also...Recent Posts
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