Compliance & Ethics

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of a distribution fund related to a 2019 enforcement action against Wells Fargo. This order authorizes the transfer of all remaining, unreturned funds from the fund to the U.S. Treasury.

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund established following enforcement action against IPG Investment Advisors, LLC. This order authorizes the transfer of any remaining or future infeasible funds to the U.S. Treasury, marking the conclusion of the remedial phase for this specific matter.

The Financial Conduct Authority (FCA) has officially cancelled the Part 4A permission of H A Performance Limited, effective August 12, 2026. This enforcement action resulted from the firm's failure to pay overdue regulatory fees and levies despite formal requests.

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund established following a 2019 enforcement action against Raymond James Financial Services Advisors, Inc. This order authorizes the transfer of any remaining unallocated funds to the U.S. Treasury, marking the conclusion of the remediation process related to share class selection disclosure failures.

The Securities and Exchange Commission (SEC) has approved the final accounting and termination of the distribution fund related to a 2019 enforcement action against Wedbush Securities, Inc. This order authorizes the transfer of all remaining, unreturned funds from the distribution pool to the U.S. Treasury.

The Securities and Exchange Commission (SEC) has approved the termination of a distribution fund related to an enforcement action against Coastal Investment Advisors, Inc. This order authorizes the transfer of all remaining unallocated funds from the fund to the U.S. Treasury.

The Securities and Exchange Commission (SEC) has approved the final accounting for a distribution fund related to a 2019 enforcement action against Provise Management Group, LLC. This order authorizes the transfer of all remaining, unrecoverable funds from the distribution pool to the U.S. Treasury and officially terminates the fund.