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Securities and Exchange Commission v. Buttonwood Financial Group, LLC et al
Case Number:
4:21-cv-00686
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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October 12, 2023
Investment Firm Settles With SEC Over Trade Disclosures
An investment firm and its founder agreed to pay over $300,000 to end a U.S. Securities and Exchange Commission suit alleging they tried to avoid paying transaction fees by directing investments into expensive mutual funds.
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September 27, 2021
SEC Sues Mo. Investment Firm Over Wrap Fee Account Trades
The U.S. Securities and Exchange Commission has filed suit against a Kansas City, Missouri-based registered investment adviser and its founder for allegedly investing client assets in expensive mutual funds to avoid paying transaction fees.