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Partner Paul Lieberman Quoted In ACA Insights Regarding Third-Party Transaction Fees
Author: Scarinci Hollenbeck, LLC
Date: April 7, 2017
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Stifel, Nicolaus & Co. is an advisory firm and broker-dealer based in St. Louis that recently came to the attention of the Securities and Exchange Commission. Stifel accepted a $300,000 fine from the SEC to settle allegations the firm failed to disclose to clients the need to pay transaction fees to third-party brokers.
ACA Insights, a weekly newsletter for investment management legal and compliance professions, ran a story on the Stifel case and its implications. Scarinci Hollenbeck partner Paul Lieberman was quoted in the article. An excerpt of Mr. Lieberman’s comments and a link to the entire newsletter—where the Stifel story is highlighted in yellow—are below.
EXCERPT
“Investment advisory representatives should be knowledgeable about how their firms and the sub-advisers they work with, conduct these sales to make sure they are handled in accordance with the agreements with the clients and regulatory requirements”
– Paul Lieberman, ACA Insights, April 3, 2017
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