SEC
Whistleblower
Attorneys

September 27, 2019

BMO Harris Financial Advisors Inc., BMO Asset Management Corp.

Trading and Pricing

SANCTION AMOUNT: $37980000

Defendants: BMO Harris Financial Advisors Inc., BMO Asset Management Corp.

Respondents settled charges brought in an administrative proceeding that they failed to tell clients about certain aspects of how they selected investments in their retail investment advisory program, including the selection of more expensive investments from which they profited.

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