Violation Tracker Individual Record
: Wall Street Access
: February 15, 2022
: financial offenses
: investor protection violation
: The Securities and Exchange Commission announced that six investment advisers and six broker-dealers have agreed to settle charges that they failed to file and deliver client or customer relationship summaries known as Form CRS to their retail investors by the required deadline and, in some cases, failed to include all information necessary to satisfy Form CRS requirements.
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