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The SEC claims the RIA violated its fiduciary duty when it did not inform clients about the conflicts related to revenue-sharing agreements and must return funds to affected investors.
The Fifth Circuit Court of Appeals agreed that Congress unconstitutionally delegated its power when it allowed the SEC to pick whether to pursue enforcement cases in federal courts or internally.
The call for greater independence became the motivation for Steve Dimitriou to leave FiNet in 2020 and launch his own RIA firm, Mayflower Advisors, which today manages over $1.7B.
