sec whistleblower attorneys
September 30, 2019
Founders Financial Securities, LLC
Trading and Pricing
SANCTION AMOUNT: $1615465
Defendants: Founders Financial Securities, LLC
Respondent, a dual RIA and broker-dealer, settled charges that it failed to disclose conflicts of interest and to seek best execution while selling higher cost mutual fund share classes charging 12b-1 fees that it received a share of.
- Key Docs
- Official SEC press release