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Academic

: Securities Law Prof Blog

SEC Charges New York Investment Firms with Fraud

By Securites Lawprof

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The SEC today charged three affiliated New York-based investment firms and four former senior officers with fraud, misuse of client assets, and other securities laws violations involving their $66 million advisory business. The SEC alleges that the operation?s investment adviser...

Full post as published by Securities Law Prof Blog on January 20, 2011 (boomark / email).

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