SEC
Whistleblower
Attorneys

August 20, 2020

NPB Financial Group, LLC

Trading and Pricing

SANCTION AMOUNT: $1050187

Defendants: NPB Financial Group, LLC

California-based investment advisor and broker-dealer agreed to settle charges that it purchased, recommended, or held for advisory clients mutual fund share classes that charged 12b-1 fees, including when lower-cost share classes of the same funds were available.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
Thank you for submitting some email to us.