Try our Advanced Search for more refined results

Advisory Firm Must Pay SEC $1.9M For Disclosure Failures

By Katryna Perera (January 20, 2023, 9:37 PM EST) -- The U.S. Securities and Exchange Commission has ordered Boston-based investment adviser Moors & Cabot Inc. to pay nearly $2 million over claims that it breached its fiduciary duty to advisory clients by, among other things, failing to disclose certain payments it received from clearing brokers....

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Attached Documents

Related Sections

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!