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A New York-based registered investment adviser, its owner, and its former chief compliance officer have been charged by the Securities and Exchange Commission (SEC) with securities laws violations for unlawfully offering and selling more than $500,000 worth of unregistered, fraudulent securities.
Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:... More by Aaron Nicodemus
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