sec whistleblower attorneys
September 30, 2019
IC Advisory Services Inc.
Trading and Pricing
SANCTION AMOUNT: $1195186
Defendants: IC Advisory Services Inc.
Settled charges that Respondent failed to adequately disclose conflicts of interest related to the sale of higher cost mutual fund share classes that charged 12b-1 fees, when a lower-cost share class was available. The Respondent self-reported the potential violations.
- Key Docs
- Official SEC press release
