Violation Tracker Individual Record
: Wahed Invest, LLC
: February 10, 2022
: financial offenses
: investor protection violation
: The Securities and Exchange Commission charged and settled with New York-based robo-adviser Wahed Invest, LLC for making misleading statements and breaching its fiduciary duty, and for compliance failures related to its Shari'ah advisory business.
Level of Government
: agency action
: Securities and Exchange Commission
Civil or Criminal Case
Source of Data
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log