Vanguard, Empower Settle SEC Charges Over Advisor Conflict Disclosures
« Return to News
Vanguard and Empower will pay $19.5m and nearly $6m, respectively, in settlements. The commission argued the firms did not adequately disclose potential conflicts of interest to clients in managed accounts.
Continue reading article externally:
Go to External WebsiteHave any Questions?
We're here to help. Send us an email or call us at +1 (585) 329-9661. Please feel free to contact our experts.
A donation will be made by Adviser First Partners to a Veterans organization on behalf of all financial professionals and firms that register each month
Contact UsSubscribe to our mailing list.
© 2025 Adviser First Partners. All Rights Reserved.
Web Design by eLink Design, Inc., a Kentucky Web Design company