The SEC has also sanctioned Goelzer Investment Management, Inc., a dually registered broker-dealer and investment adviser, for failing to comply with statements in the firms Form ADV.
Estimated reading time: 0 minutes, 23 seconds
SEC Slaps Two Brokers Over Trade Execution
The SEC has sanctioned A.R. Schmeidler & Co., Inc., a dually registered broker-dealer and investment adviser, for failing to analyze if modifications to its fee structure with a clearing firm would influence if it was obtaining best execution for clients. So reports Lexology.
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