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Company Name: Advantage Capital Corp.
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Problem Type:
Financial Institution
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12b-1: NA%
OER: NA%
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Date/Problem:
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Publicity Source:
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Status-Ongoing Resolution:
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Fund Police Opinion:
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6/8/2005 Involved in connection with receiving directed brokerage in exchange for preferential treatment from a number of mutual fund companies.
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NASD - Press Room
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Imposed fines of $450K.
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HUGE conflicts of interest exist at many large brokerage firms. FP suggests you steer clear and seek advice from a FEE-ONLY planner. Visit www.napfa.com.
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