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: Securities Law Prof Blog

Investment Adviser Settles SEC Charges It Marked Closing Price of Stock to Avoid SOX 404 Requirements

By Securites Lawprof

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On July 8, 2010, the SEC settled an administrative proceeding against Ephraim Fields (Fields), the owner and manager of a registered investment adviser, Clarus Capital Management, LCC (Clarus Management). The SEC alleged that Fields marked the closing price of the...

Full post as published by Securities Law Prof Blog on July 11, 2010 (boomark / email).

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