The SEC order found that the change spurred redemptions ... similar to another recent Vanguard legal run-in. In 2023, Vanguard was fined $800,000 by the Financial Industry Regulatory Authority ...

U.S. District Judge John Murphy in Philadelphia said the proposed class action settlement announced in November "provides no ...

The SEC found that Vanguard's failure to properly disclose ... according to the filing. The fine comes on top of a $40 million settlement Vanguard reached in a related investor class-action ...

13, 2022. (AP Photo/Julia Nikhinson) MANHATTAN (CN) — Asset management firm Vanguard has agreed to pay more than $106 million to settle ongoing probes by the U.S. Securities and Exchange Commission ...

The $106 million fine is in addition to the $40 million ... large unnecessary capital gains distributions. The SEC violations stem from a Vanguard announcement on December 11, 2020 that the ...

The SEC said the retail funds were then forced ... The payout includes $92.9 million of restitution, plus a $13.5 million civil fine. Vanguard did not admit or deny wrongdoing in agreeing to ...

A federal judge has thrown a wrench into Vanguard's plans to settle a class-action lawsuit, citing concerns about fairness to ...

In a move that blocks Vanguard Group Inc. from offsetting a US Securities and Exchange Commission settlement by $40 million, ...

By Matthew Goldstein Vanguard, the large mutual fund company, has agreed to pay $106 million in restitution to settle a securities regulatory ... to pay an $8 million fine to settle an ...