EPISODE · Nov 30, 2022 · 45 MIN
11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA
from InvestTalk · host Hosts Justin Klein & Luke Guerrero, CFA | Wealth Managers and Investment Advisors
An SEC complaint highlights what can happen if an advisor breaches their duty to seek 'best execution' for transactions of its advisory clients. Today's Stocks & Topics: Private Equity Industry, Tech Sell-Off, Yield Curve Inversion, BKE - Buckle Inc., The Stock Market and 401k, CTRA - Coterra Energy Inc., SU - Suncor Energy Inc., SLB - Schlumberger Ltd.Our Sponsors:* Check out Chilipad and use my code INVEST for a great deal: https://sleep.me* Check out Plaud AI and use my code INVEST for a great deal: https://plaud.ai* Check out Quince and use my code quince.com/invest for a great deal: https://www.quince.com* Check out TruDiagnostic and use my code INVEST20 for a great deal: https://www.trudiagnostic.comAdvertising Inquiries: https://redcircle.com/brands
Embed this episode
NOW PLAYING
11-29-2022 – SEC Strikes Again on 12b-1 Fees, Fining Another RIA
No transcript for this episode yet
Similar Episodes
No similar episodes found.