11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA

Nov 30, 2022, 01:00 AM
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An SEC complaint highlights what can happen if an advisor breaches their duty to seek 'best execution' for transactions of its advisory clients.

 

Today's Stocks & Topics: Private Equity Industry, Tech Sell-Off, Yield Curve Inversion, BKE - Buckle Inc., The Stock Market and 401k, CTRA - Coterra Energy Inc., SU - Suncor Energy Inc., SLB - Schlumberger Ltd.



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