Upright Financial Corp. Settles SEC Complaint Over Mutual Fund

Male lawyer discussing negotiation legal case with client meeting

The Securities and Exchange Commissioner (SEC) announced settled charges against Upright Financial Corp and its Founder, David Yow Shang Chiueh.  Upright Financial is a registered investment company (RIC) that failed to comply with its fiduciary duties to its customers by managing funds contrary to internal policies and public disclosures. According to the order filed by […]