investment advisory firm

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SEC charges investment adviser and CEO with misleading retail investors

20/07/2018(0)
The Securities and Exchange Commission (SEC) charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings ... Read More
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Investment advisory firm to pay more than $630,000 to settle charges

01/11/2017(0)
Investment advisory firm Millennium Management LLC has agreed to pay more than $630,000 to settle charges that it shorted U.S. stocks in companies planning follow-on offerings and then illegally ... Read More
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SEC announces fraud charges against Investment Adviser

23/01/2015(0)
The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Fort Lauderdale, Florida-based investment advisory firm, its manager, and three related funds in a ... Read More
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