SEC
Whistleblower
Attorneys

April 06, 2018

Securities America Advisors Inc.

Trading and Pricing

SANCTION AMOUNT: $5828448

Defendants: Securities America Advisors Inc.

Respondent Securities America Advisors Inc. agreed to settle charges that it failed to disclose conflicts of interest and violated its duty to seek best execution by investing advisory clients in higher-cost mutual fund shares when lower-cost shares of the same funds were available.

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