SEC
Whistleblower
Attorneys

September 30, 2019

Mid Atlantic Financial Management Inc.

Trading and Pricing

SANCTION AMOUNT: $1327002

Defendants: Mid Atlantic Financial Management Inc.

The SEC found that Respondent, which was eligible to self-report but did not, failed to fully disclose the conflicts arising from its selection of more expensive mutual fund share classes for clients when lower-cost share classes for the same fund were available. Respondent agreed to settle the charges.

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