Regulatory Fines – La Meer Inc.

Welcome

La Meer Inc. is a Silicon Valley organization that offers the GRACE suite of web-based solutions

Operational Risk
Compliance Management
Client Compliance
Client Management
IT Risk
Vendor Risk
Operational Due Diligence

La Meer solutions are built for Financial Markets by professionals with 150+ years of experience building technology for Finance.

Get In Touch

Email: info@lameerinc.com

Phone: +1(408) 740 7205

Address: 111 W. Saint John Street, Suite 430 San Jose, CA 95113, USA

+1 (408) 740 7205 info@lameerinc.com

Kestra pays $10m to settle SEC charges over mutual fund fee conflicts

July 15, 2021
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Regulatory Fines

The Securities and Exchange Commission (SEC) has fined two RIAs associated with Kestra Holdings more than $10m to settle charges that they failed to disclose conflicts of interest that incentivized them to place client assets into expensive mutual funds when…

TIAA to Pay $97M for Pressuring Investors Into Rollovers

TIAA-CREF Individual & Institutional Services LLC, a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), agreed Tuesday to pay the Securities and Exchange Commission $97 million in restitution to settle charges of inaccurate and misleading statements related to…