Laramie County Fire District No. 3 vs Ambulance
The meeting at the Laramie County Fire District #3 fire hall was full of people for the meeting on December 11th. It is the monthly meeting with the
Source: pinebluffspost.com
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SEC Fines Advisor Nearly $1 Million Over Handling of Leveraged ETFs
The Securities and Exchange Commission has fined a registered investment advisor and one of its owners nearly $1 million over an investing strategy involving…
Source: biztoc.com
SEC: Fargo-Based Firm, IAR Held Leveraged ETFs For Too Long
Classic Asset Management will pay more than $933,000 to settle charges with the SEC for breaching fiduciary duties when holding leveraged ETFs.
Source: wealthmanagement.com
Complex leveraged ETFs land North Dakota SEC fine
The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.
Source: financial-planning.com
SEC Fines Advisor Nearly $1 Million Over Handling of Leveraged ETFs
The commission says Douglas Schmitz made unsuitable, long-term investments in ETFs that are intended to be held no longer than a day.
Source: barrons.com