US EditionAZ Corporation Commission Joins $17 Million Multi-State Settlement with Edward Jones
Summary by Arizona Daily Independent
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AZ Corporation Commission Joins $17 Million Multi-State Settlement with Edward Jones
The Arizona Corporation Commission has joined a $17 million enforcement settlement with mega-securities dealer Edward D. Jones. This settlement resulted from a multi-state investigation into Edward Jones’s supervision of customers paying front-load commissions for Class A mutual fund shares in light of later moving brokerage assets into fee-based investment advisory accounts. The four-year investigation was led...
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