Defendant Name: Fusion Investment Advisors LLC, d/b/a Coppell Advisory Solutions, LLC and Fusion Capital Management

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of Fusion Investment Advisors LLC d/b/a Coppell Advisory Solutions, LLC and Fusion Capital Management
First Document Date 24-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22171
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Other
• Sections 204, 206(2), 206(4) Advisers Act; Rules 204-2(a)(7), 206(4)-7 Advisers Act

Resolutions

First Resolution Date 24-Sep-2024
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

IA-6725 24-Sep-2024 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On September 24, 2024, the SEC instituted settled administrative and cease-and-desist proceedings against Fusion Investment Advisors LLC d/b/a Coppell Advisory Solutions, LLC and Fusion Capital Management, stating: "These proceedings arise out of the failure of Fusion, a registered investment adviser, to fully and fairly disclose material facts and conflicts of interest with respect to its receipt of certain compensation, as well as material facts regarding its fee calculations."
IA-6725-s 24-Sep-2024 Administrative Summary
SEC Charges Dallas-Based Investment Adviser for Disclosure Failures Concerning Conflicts of Interest and Fee Calculations
On September 24, 2024, the SEC "announced settled charges against registered investment adviser Fusion Investment Advisors LLC, d/b/a Coppell Advisory Solutions, LLC and Fusion Capital Management, for breaches of its fiduciary duty relating to Fusion's false and misleading disclosures relating to its receipt of certain compensation and its fee calculations."