Private Advisor Group, LLC


August 9, 2022

Type of alert:

SEC Cease-and-Desist  

The SEC ordered Cease-and-Desist proceedings against Private Advisor Group, LLC. The respondent submitted an Offer of Settlement that the SEC has determined to accept. The firm allegedly committed several violations including not providing full disclosure, not fulfilling their duty of care obligations, and failing to implement written compliance policies designed to prevent violations of the Advisers Act. They are ordered to a censure and a civil penalty.

Contact Us If You Believe You Have a Case

"*" indicates required fields


Please note: We are unable to take cases with losses of less than $50,000.

This field is for validation purposes and should be left unchanged.

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer