Investment Management Update - January 2015
Investment Management Update – Fees and Expenses
On April 1, the U.S. Court of Appeals for the First Circuit vacated a summary judgment ruling in favor of the Securities and Exchange Commission (SEC) against Commonwealth Equity Services, LLC, also known as Commonwealth...more
Washington AG Bob Ferguson has reached a settlement with Seattle Arena Company, LLC, which operates Climate Pledge Arena, to resolve allegations that the company collected a hidden fee on certain food and beverage sales in...more
During the past several years, the US Securities and Exchange Commission (SEC) has settled more than a dozen cases where the SEC alleged (with the firms neither admitting nor denying the charges) that investment advisers...more
The Washington State Attorney General recently filed an action in state court against a student loan debt adjustment firm and its individual principal alleging that the firm charged illegal fees and failed to provide required...more