Go to Wolters Kluwer VitalLaw.comGo to Wolters Kluwer VitalLaw.com
VitalLaw®
  • Find answers to your questions
  • Log in to access your subscriptions
In depth. On point.
In depth. On point.
  • Home
  • Legal Directory
  • Home
  • Legal Directory
In depth. On point.
  • Articles
    • Articles
    • CLEARING AND SETTLEMENT—SEC issues Treasury clearing relief for certain repo transactions
    • CORPORATE GOVERNANCE—Atkins outlines IPO, crypto, and shareholder-proposal reform agenda at Texas Economic Club
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • FRAUD AND MANIPULATION—SEC settles charges against Snowden Capital
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • FRAUD AND MANIPULATION—SEC settles with adviser/broker-dealer over inappropriate ETF investments
      • You have 1 more complimentary views available this month. Log in if you are already a customer
    • REGULATION TRACKER—Upcoming SEC and CFTC comment deadlines and effective dates
      • You have 1 more complimentary views available this month. Log in if you are already a customer
  • Articles
    • Articles

    Securities Regulation Daily Wrap Up, FRAUD AND MANIPULATION—SEC settles with adviser/broker-dealer over inappropriate ETF investments, (Nov 2, 2026)

    By Rebecca E. Hoffman, J.D.

    The firm’s former representative agreed to a proposed $100,000 penalty and two-year adviser injunction in the related action, subject to court approval.

    The SEC imposed a $600,000 penalty on United Planners’ Financial Services of America ...

    © 2026 CCH Incorporated and its affiliates and licensors. All rights reserved.

    • Manage Cookie Preferences
    • Privacy Statement
    • Terms of Use