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News July 29, 2019 Issue

Failure to Disclose Conflicts of Interest Lands Firm Founder in Hot Water

The founder and owner of an advisory firm that failed to disclose material conflicts of interest about investments he advocated has now experienced the cost of his alleged malfeasance. In a settlement this month with the SEC, he was barred from the securities industry for life and agreed to pay, together with his firm, more than $1.2 million in disgorgement and fines.

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