Category: Mutual Funds Articles

Erez Law is currently investigating Ameriprise Financial Services Inc. financial advisors across the country who recommended and sold higher-fee mutual fund shares to retirees and failed to provide sales charge waivers. In February 2018, the Securities and Exchange Commission (SEC) … Continue reading →

Erez Law is currently investigating Cetera Advisor Networks LLC regarding not providing applicable mutual fund sales-charge waivers for select customers, resulting in eligible customers being overcharged by at least $1,666,404 for mutual fund purchases made since July 1, 2009. Cetera … Continue reading →

Erez Law is currently investigating former Credit Suisse Securities financial advisor Sanford Michael Katz (a.k.a. Sandy) (CRD# 1558898) regarding breach of fiduciary duty in connection with the purchase and recommendation of mutual fund shares for his clients. Katz has been … Continue reading →

Erez Law is currently investigating SunTrust Banks and its broker-dealer and insurance arm of the company, SunTrust Investment Services, regarding allegations that brokers across the country recommended costly mutual funds when cheaper options were available for those customers. The U.S. … Continue reading →