SEC
Whistleblower
Attorneys

September 19, 2019

Sigma Planning Corp.

Trading and Pricing

SANCTION AMOUNT: $2546718

Defendants: Sigma Planning Corp.

Respondent RIA settled charges that it failed to disclose conflicts of interest related to selling higher cost mutual fund share classes charging 12b-1 fees that it received a share of, while avoiding having to pay asset-based fees to its clearing broker.

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