The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading. By Mark Schoeff Jr. Set it and forget it isn't a good ...
Registered investment advisor Kovack Advisors has been ordered to pay $899,513 by the SEC for failing to review the suitability of wrap account programs for its clients. The monetary penalty and other ...
Kovack Advisors, a registered investment advisor, to pay $900,000 for allegedly failing to disclose to clients fees associated with its wrap fee programs and to review whether those programs remained ...
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