Organization
Vanguard Advisers
Investment adviser registered with the SEC; an indirect subsidiary of The Vanguard Group, Inc.
- Also known as
- Vanguard Advisers, Inc.
In the Matter of Vanguard Advisers, Inc.
- Settled with U.S. Securities and Exchange Commission: $19.5M, failing to adequately disclose conflicts of interest to prospective clients; without admitting or denying the findings 12
Connections 2
settled with
- U.S. Securities and Exchange Commission 29 Aug 2025 $19.5M, failing to adequately disclose conflicts of interest to prospective clients; without admitting or denying the findings Primary record 12
part of
- The Vanguard Group Primary record 2
Timeline 1 date
- 29 Aug 2025 Vanguard Advisers settled with U.S. Securities and Exchange Commission
Proof 2 sources
-
SEC Charges Vanguard Advisers for Failing to Adequately Disclose Conflicts of Interest to Clients (summary of the administrative proceeding), U.S. Securities and Exchange Commission, 29 Aug 2025.
Primary record
failing to adequately disclose conflicts of interest when recommending to prospective clients
-
In the Matter of Vanguard Advisers, Inc. (Advisers Act Release No. 6912), U.S. Securities and Exchange Commission, 29 Aug 2025.
Primary record
Respondent shall pay a civil monetary penalty totaling $19,500,000 as follows:
without admitting or denying the findings herein
Vanguard Advisers is an indirect, wholly owned subsidiary of The Vanguard Group, Inc.
Page history 1 change
- Add SEC records for BlackRock and Vanguard entitiese9edcab
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