Adviser To Pay SEC $6M Over Undisclosed Conflicts <https://www.law360.com/newyork/articles/1869029?nl_pk=ac5a3855-e47c-4403-bee6-ca14f9bcf831&utm_source=newsletter&utm_medium=email&utm_campaign=newyork&utm_content=2024-08-13&read_main=1&nlsidx=0&nlaidx=14>
By Sydney Price 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. Order attached | Read full article » <https://www.law360.com/newyork/articles/1869029?nl_pk=ac5a3855-e47c-4403-bee6-ca14f9bcf831&utm_source=newsletter&utm_medium=email&utm_campaign=newyork&utm_content=2024-08-13&read_more=1&nlsidx=0&nlaidx=14> | Save to favorites » <https://www.law360.com/newyork/articles/1869029?nl_pk=ac5a3855-e47c-4403-bee6-ca14f9bcf831&utm_source=newsletter&utm_medium=email&utm_campaign=newyork&utm_content=2024-08-13&read_later=1&nlsidx=0&nlaidx=14>
