Gregory M. Bercowy
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Questions 401k Investors, Company Sponsors Should Ask About Fidelity’s New Infrastructure Fee
If Fidelity is confident all retirement plan fees it charges are properly characterized and disclosed, including a new controversial Infrastructure Fee, it should have no problem disclosing the underlying contractual agreements with mutual funds which provide details 401k investors and plan sponsors need to consider. photocredit: ASSOCIATED PRESS 401k investors, as well as company sponsors,...
Quantek Asset Management, LLC, et al.
Notice of Proposed Plan of Distribution and Opportunity for Comment
Fresenius Medical Care AG & Co. KGaA
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Vision Financial Markets LLC
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Coupon Express, Inc., et al.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Eastern Resources, Inc.
Hua Yang Investment Group, et al.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Tamm Oil and Gas Corp.
Dennis Gibb and Sweetwater Investments, Inc.
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist...