Vanguard to Pay More Than $100M to Resolve SEC Violations
The SEC’s order finds that Vanguard’s disclosures failed to warn investors about tax risks tied to fund redemptions.
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Wells Fargo, Merrill Cash-Sweep Accounts Shortchanged Clients, SEC Alleges
Both Wells Fargo and Merrill for several years offered only one cash sweep option for most of their clients and these accounts delivered paltry returns, the SEC said. “Merrill took several ...