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: Securities Law Prof Blog

SEC and Former COO of Ark Asset Management Settle Trade Allocation Charges

By Securites Lawprof

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The SEC and Stephen Jay Mermelstein settled charges under the Investment Advisers Act that Mermelstein, the former Chief Operating Officer of a formerly registered investment adviser, Ark Asset Management, Co., Inc. (Ark), failed reasonably to supervise a portfolio manager who...

Full post as published by Securities Law Prof Blog on December 15, 2009 (boomark / email).

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