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The commission charged Kevin Kane and Sean Michael Kane for defrauding clients after they were fired from Waddell & Reed by telling them they left voluntarily.
Predictive data technologies may create “inherent conflicts” of interest related to the duty that investment advisors have to their clients, the SEC chair said.
The regulator’s update to its targeted sweep of firms’ dealings with social media influencers offered suggestions that may be difficult for broker/dealers to fulfill, according to one securities attorney.
