Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, May 25, 2017

Barclays Capital Required to Refund Advisory Fees by SEC


On May 10, 2017, the Securities and Exchange Commission ("SEC") announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund sales charges to clients who were overcharged. In a settlement of more than $9...
https://www.securitieslawyer101.com/?p=36694

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