FINRA命令Edward Jones、Osaic和Cambridge向客户偿还82万美金, FINRA orders Edward Jones, Osaic, and Cambridge to repay $8.2M to clients for fee waiver failures.

FINRA已命令Edward Jones、Osaic和Cambridge投资研究公司向客户偿还820万美元,原因是对共同基金销售没有进行监测和适用免收费用办法。 FINRA has ordered Edward Jones, Osaic, and Cambridge Investment Research to repay $8.2 million to clients due to failures in monitoring and applying fee waivers on mutual fund sales. 这些公司与FINRA的调查合作,避免了额外的罚款。 The firms cooperated with FINRA's investigation, avoiding additional fines. 客户将因支付超额费用而获得退款,爱德华·琼斯客户欠444万美元,奥赛克客户欠396万美元,剑桥客户欠699 217美元。 Clients will receive refunds for excess fees paid, with Edward Jones clients owed $4.44 million, Osaic clients $3.096 million, and Cambridge clients $699,217.