SEC
Whistleblower
Attorneys

March 11, 2019

Robert W. Baird & Co. Incorporated

Trading and Pricing

SANCTION AMOUNT: 4159167.44

Defendants: Robert W. Baird & Co. Incorporated

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.

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