Nine investment advisers will pay a total of $1.24 million to settle allegations that they violated the Securities and Exchange Commission’s (SEC) marketing rule by disseminating advertisements with untrue or misleading information.

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Nine investment advisers will pay a total of $1.24 million to settle allegations that they violated the Securities and Exchange Commission’s (SEC) marketing rule by disseminating advertisements with untrue or misleading information.
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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