Market regulators may fine Edward D. Jones, one of the largest mutual fund distributors in the United States, for not telling clients that it was collecting fees for recommending some funds more than others, the brokerage’s parent company said today.
In a regulatory filing, The Jones Financial Companies, L.L.L.P said, “the staff of the SEC informed the partnership that it is considering recommending enforcement action in connection with the partnership’s mutual fund sales practices.”
In the same filing the company said the staff of the NASD, the securities industry’s self-regulatory body, has also recommended an enforcement action against the brokerage.
St. Louis-based Edward D. Jones’ is the latest U.S. brokerage firm to be investigated for selling a certain number of funds very aggressively.
Although revenue-sharing agreements between fund companies and distributors are not illegal, regulators insist that clients must be told about them.
According to the filing Edward D. Jones earned some US$89.9 million in revenue-sharing payments last year and US$85.9 million in 2002.