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https://www.barrons.com/advisor/articles/sec-huntleigh-advisors-12b-1-fees-f181af8c

SEC Dings RIA Over Disclosures, 12b-1 Fees. 2 Commissioners Dissent.

By
Andrew Welsch
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The Securities and Exchange Commission said Huntleigh Advisors and its affiliate Datatex Investment Services have agreed to pay nearly $900,000 to settle charges they allegedly breached their fiduciary duties with regard to disclosing conflicts of interest.

It’s the latest penalty dished out by the SEC concerning firms’ disclosures around revenue sharing and 12b-1 fees.

Huntleigh...

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