Adviser To Pay SEC $6M Over Undisclosed Conflicts
By Sydney Price ( August 12, 2024, 10:09 PM EDT) -- The U.S. Securities and Exchange Commission announced Monday that investment advisory firm Cadaret Grant & Co. Inc. will pay more than $6 million to settle claims that it failed to make sufficient disclosures to clients regarding its revenue-sharing agreements and conflicts of interests associated with its financial recommendations....
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