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: Securities Law Prof Blog

SEC Obtains TRO & Freeze Against Philadelphia Investment Adviser

By Securites Lawprof

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On April 17, 2009, the SEC charged a Philadelphia-area investment adviser and its principal with misappropriating millions of dollars in client assets and obtained an emergency court order freezing their assets. According to the Commission's complaint, since mid-2005 Donald Anthony...

Full post as published by Securities Law Prof Blog on April 20, 2009 (boomark / email).

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