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Recent Posts in Mutual Funds Category

LPL Financial Firm Under Fire and On Radar with Several Securities Regulators

Posted on Mar 24, 2013 By Michael Edmiston
According to Nathaniel Popper of The New York Times, investment firm LPL Financial has ratcheted up a sequence of problems with multiple securities regulators LPL is not unique nor alone in its ...
Continue reading "LPL Financial Firm Under Fire and On Radar with Several Securities Regulators" »
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Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales

Posted on Oct 20, 2012 By Michael Edmiston
The Financial Industry Regulatory Authority has fined Fidelity Brokerage Services, LLC and Fidelity Investments Institutional Services Company, Inc. $375,000 for providing misleading sales and ...
Continue reading "Fidelity Brokerage Fined $375,000 for Misleading Advertising, Supervisory Failures Related to Mutual Fund Sales" »
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Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis

Posted on Jun 7, 2012 By Michael Edmiston
The Securities and Exchange Commission (SEC) charged investment management company OppenheimerFunds, Inc. for grossly misleading investors in regards to the policies and practices of two of its funds, ...
Continue reading "Oppenheimer to Pay $35 Million for Misleading Investors During Financial Crisis" »
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