Guggenheim Agrees to Pay $20m for Failed Disclosure of Conflict of Interest

Guggenheim Partners Investment Management LLC agrees to pay $20m to the Securities and Exchange Commission after failing to disclose to other client investors that one of its executives received a $50m loan from an advisory client to invest in a Guggenheim acquisition. Click here to read more.

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Guggenheim Agrees to Pay $20m for Failed Disclosure of Conflict of Interest

Featured Posts

Food and Drug Law Seminar to Feature Jessica Sleater

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Wells Fargo Settles with Regulators Allegations of Risky Investments and Fake Accounts Scandal

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AT&T Agrees to Pay $60m to Settle FTC Lawsuit Involving Throttling of Unlimited Plans

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FDA Tests Find Some "Dairy Free" Chocolate Contains Milk

Food and Drug Law Seminar to Feature Jessica Sleater

Class Action Filed Against Purell for False Promises of Killing Germs

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