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Coral Gables Legal Blog

SEC - Brokers' Conflicts of Interest Cost Investors Over $125 Million in Mutual Fund Over-Charges

79 Different Brokers and Investment Advisors have settled charges that they engaged in numerous violations including mutual fund over-charges and undisclosed conflicts of interest that cost investors over $125 million.1 These charges harm investors by unfairly exposing them to fees that chip away at the value of their investments. The brokers agreed to pay over $125 million to the Securities and Exchange Commission (SEC) which will be returning funds to investors. https://www.sec.gov/news/press-release/2019-28.

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