SEC.gov | Vanguard to Pay More Than $100 Million to Resolve …
1 day ago · The SEC’s order finds that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. Without admitting or denying the SEC’s findings, Vanguard agreed to be censured, cease and desist from future violations, and pay $18.2 million in disgorgement and prejudgment interest that will be deemed ...
Vanguard fined more than $100 million by SEC over violations …
1 day ago · The SEC’s order said Vanguard’s investor-series target funds saw $130 billion in redemptions from December 2020 to October 2021, up from $41 billion in the same period a year prior.
Vanguard to Pay $106 Million in Restitution to Retirement Fund ...
23 hours ago · Vanguard, the large mutual fund company, has agreed to pay $106 million in restitution to settle a securities regulatory investigation into whether the firm misled retail investors about the tax ...
Vanguard Settles SEC Charges in $106M Fine Over TDF Violations
1 day ago · The SEC’s order today finds that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. Without admitting or denying the SEC’s findings, Vanguard agreed to be censured, cease and desist from future violations, and pay $18.2 million in disgorgement and prejudgment interest that will be ...
Vanguard settles SEC charges over misleading statements for …
The SEC’s order finds that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. Vanguard has agreed to be censured, cease and desist ...
NASAA Announces $106 Million Multi-State Settlement with Vanguard
WASHINGTON, D.C. – (January 17, 2025) – The North American Securities Administrators Association (NASAA) today announced that a taskforce of state securities regulators and the United States Securities and Exchange Commission (SEC) has reached a $106 million settlement with Vanguard Marketing Corporation and The Vanguard Group, Inc ...
Attorney General James Secures $106 Million from Vanguard for …
1 day ago · NEW YORK – New York Attorney General Letitia James and a bipartisan, multistate coalition of 45 securities regulators, together with the Securities and Exchange Commission (SEC), today secured $106 million from Vanguard Group, Inc., an investment advisory firm, and its subsidiary Vanguard Marketing Corporation.The settlement follows Vanguard’s failure to …
Vanguard to pay $106.4 mln to settle US SEC charges, regulator …
1 day ago · The Vanguard Group has agreed to pay $106.4 million to settle U.S. Securities and Exchange Commission (SEC) charges over misleading statements related to capital gains distributions and tax ...
Vanguard to pay $106M to settle SEC charges over TRF disclosure ...
1 day ago · Without admitting or denying the SEC’s findings, Vanguard agreed to be censured, cease and desist from future violations, and pay $18.2M in disgorgement and prejudgment interest that will be ...
SEC ‘caution’ extends Vanguard’s ETF share class monopoly
Mar 7, 2024 · More than nine months after Vanguard’s lucrative patent on using exchange traded funds as a share class of existing mutual funds expired, rival asset managers are still waiting for approval to...
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