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News April 8, 2019 Issue

SEC Charges Former Advisory Firm COO Overbilled to Give Himself a Raise

Don’t steal from your clients and don’t steal from your employer. These seem like fairly easy rules to understand and follow – but the SEC and the U.S. Attorney’s Office for the Southern District of New York, in separate enforcement actions on March 28, charged a former advisory COO with doing both.

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