SEC
Whistleblower
Attorneys

August 01, 2017

Cadaret Grant & Co., Inc.

Trading and Pricing

SANCTION AMOUNT: $3048000

Defendants: Cadaret Grant & Co., Inc.

Administrative proceeding in which the Commission found a series of failures by Respondent, including: (1) failure to meet best execution obligations to advisory clients in purchases of mutual fund shares; (2) an undisclosed conflict of interest in respondents’ receipt of commissions for the purchases of higher-priced mutual fund shares; and (3) failure to refund advisory fees that were prepaid by clients who terminated before the fees were fully earned.

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