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The weekly news source for investment management legal and compliance professionals

News October 21, 2019 Issue

Adviser in Court after SEC Charges Owner and Firm with Improper Transaction Costs

The owner of both an advisory firm and a broker-dealer found himself in federal court after the SEC filed charges that he and his advisory firm invested their clients in a version of a security that charged significant transactional sales charges most of which the broker-dealer allegedly pocketed when the identical security was available without these costs.

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