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According to Secretary of the Commonwealth William Galvin, the broker made an excessive number of trades in order to boost commission fees while blaming account rebalancing and market performance.
The good old days of charging 1% solely for a portfolio of mutual funds are officially over, and that's good news for the right type of advisor, says First Ascent Asset Management's Scott MacKillop.
The regulatory agency charged BNP Paribas Securities and BNP Paribas Prime Brokerage for failing to put policies in place that would catch suspicious transactions of penny stock securities, according to an action released today.