(Reuters) - The regulator also charged the broker, Michael Bullock,
with receiving more than $280,000 of improper compensation. It
said he failed to disclose the kickbacks to his union
retirement plan clients, even as he advised those clients to
maintain or include the fund company's mutual funds in their
plans.
Bullock worked in the Los Angeles area, and was employed by
Securities America for nearly 17 years before leaving last
month, the regulator said.
Read more at Reuters.com Government Filings News
with receiving more than $280,000 of improper compensation. It
said he failed to disclose the kickbacks to his union
retirement plan clients, even as he advised those clients to
maintain or include the fund company's mutual funds in their
plans.
Bullock worked in the Los Angeles area, and was employed by
Securities America for nearly 17 years before leaving last
month, the regulator said.
Read more at Reuters.com Government Filings News
No comments:
Post a Comment