Litigation and Enforcement Actions

• PIMCO Settles Charges of Misleading Investors Regarding ETF Performance
• U.S. District Court Orders Trustees to Produce Documents Redacted or Withheld Under Attorney-Client Privilege in Mutual Fund Excessive Fee Litigation
• SEC Overturns Administrative Law Judge's Decision and Finds Adviser Failed to Disclose Material Conflicts of Interest Relating to Revenue Sharing Arrangement

To read the Regulatory Update, click the link below.