Lancaster area investment firm ordered to pay more than $2 million
The payment includes fines, repayments and interest for failing to make disclosures to mutual fund clients.
Source: lancasteronline.com
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Lancaster area investment firm ordered to pay more than $2 million in fines
The payment includes fines, repayments and interest for failing to make disclosures to mutual fund clients.
Source: lancasteronline.com
Lancaster County investment adviser firm loses fight against SEC
Ambassador Advisors was one of a few firms that challenged the SEC initiative that it said was creating new regulation without following the formal rulemaking process.
Source: lancasteronline.com
Lancaster County investment advisor firm loses fight against SEC
Ambassador Advisors was one of a few firms that challenged the SEC initiative that it said was creating new regulation without following the formal rulemaking process.
Source: lancasteronline.com
Statement On Jury's Verdict In Trial Of Ambassador Advisors, LLC, Bernard I. Bostwick, Robert E. Kauffman, And Adrian E. Young - Gurbir Grewal, Director, SEC Division Of Enforcement
<p><span>Today, after an eight-day trial, a jury serving in the United States District Court for the Eastern District of Pennsylvania ruled in favor of the SEC against Bernard I. Bostwick, Robert E. Kauffman, and Adrian E. Young and their investment advisory firm, Ambassador Advisors, LLC, for breaching fiduciary duties in connection with mutual fund share class selection practices. Previously, the Court found that Ambassador Advisors failed to adopt and implement written policies and procedur...
Source: mondovisione.com