The Securities and Exchange Commission levied a total of $250,000 in fines against Overland Park-based Creative Planning Inc., one of the nation’s fastest growing registered investment advisory firms, and President Peter Mallouk.
A $200,000 fine was levied against the firm for advertising it ran that violated the Advisers Act. A $50,000 fine was levied against Mallouk for violating the firm’s code of ethics by not reporting securities holdings and transactions in accounts he managed for family…
The Securities and Exchange Commission levied a total of $250,000 in fines against Overland Park-based Creative Planning Inc., one of the nation’s fastest growing registered investment advisory firms, and President Peter Mallouk.
A $200,000 fine was levied against the firm for advertising it ran that violated the Advisers Act. A $50,000 fine was levied against Mallouk for violating the firm’s code of ethics by not reporting securities holdings and transactions in accounts he managed for family…