SEC.gov | Vanguard to Pay More Than $100 Million to Resolve …
Jan 17, 2025 · The SEC’s order finds that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. Without admitting or denying the SEC’s findings, Vanguard agreed to be censured, cease and desist from future violations, and pay $18.2 million in disgorgement and prejudgment interest that will be deemed ...
SEC.gov | In the Matter of The Vanguard Group, Inc.
3 days ago · The Commission found that Vanguard violated the Advisers Act and caused violations of the Securities Act and the Investment Company Act. The Commission also created a Fair Fund, pursuant to Section 308(a) of the Sarbanes-Oxley Act of 2002, as amended, so penalties can be distributed to those harmed by the Respondent’s conduct described in the ...
Vanguard to pay over $100 million to SEC in violations target date ...
Jan 17, 2025 · Asset management giant Vanguard has agreed to pay more than $100 million to settle charges related to disclosures around target date investment funds, the Securities and …
Vanguard to Pay $106 Million in Restitution to Retirement Fund ...
Jan 17, 2025 · Vanguard, the large mutual fund company, has agreed to pay $106 million in restitution to settle a securities regulatory investigation into whether the firm misled retail investors about the...
Vanguard to pay $106 million in SEC accord after saddling …
Jan 17, 2025 · Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to disclose important tax information about its popular target-date funds,...
SEC Fines Vanguard $106M Over Retirement Fund Tax Issues
Jan 17, 2025 · The Securities and Exchange Commission ordered Vanguard to pay $106.41 million over misleading statements about tax consequences affecting retail investors in its target-date retirement fund,...
SEC Fines Vanguard $106M Over Retirement Fund Tax Issues
Jan 18, 2025 · The Securities and Exchange Commission ordered Vanguard to pay $106.41 million over misleading statements about tax consequences affecting retail investors in its target-date retirement fund,...
Vanguard Settles With SEC Over Surprise Capital-Gains Taxes
Jan 17, 2025 · Vanguard Group will pay $106.41 million to settle a Securities and Exchange Commission investigation related to its target-date retirement funds, the agency said Friday.
Office of the Attorney General Announces $106 Million …
Jan 17, 2025 · Vanguard Group, Inc. is an SEC-registered investment adviser and is the parent company of VMC, a FINRA- and state-registered broker-dealer. Vanguard markets and sells target retirement funds to investors who hold shares in qualified accounts that offer special tax treatment, including deferred taxes, as well as to investors who hold shares in ...
Attorney General James Secures $106 Million from Vanguard for …
Jan 17, 2025 · NEW YORK – New York Attorney General Letitia James and a bipartisan, multistate coalition of 45 securities regulators, together with the Securities and Exchange Commission (SEC), today secured $106 million from Vanguard Group, Inc., an investment advisory firm, and its subsidiary Vanguard Marketing Corporation.The settlement follows Vanguard’s failure to notify investors of changes to its ...
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