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News November 20, 2017 Issue

SEC Settles Cherry-Picking Allegations with Yet Another Adviser

The SECís cherry-picking campaign against advisory firms shows no sign of abating. As with its crackdowns on Rule 105 and share-class abuse, the agency is going full throttle against advisers and key employees that misallocate key trading results to themselves or favored clients, leaving other clients with the dregs. A California-based firm and a former executive there are the latest to feel the campaignís sting

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