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: Securities Law Prof Blog

SEC Charges Unregistered Adviser in Ohio with Misappropriating Clients' Funds

By Securites Lawprof

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The SEC today filed fraud charges against an unregistered investment adviser for misrepresenting the safety and nature of his investment strategy, and for misappropriating millions of dollars in funds from investors in California, Illinois, Ohio, Tennessee, and Washington. According to...

Full post as published by Securities Law Prof Blog on March 29, 2010 (boomark / email).

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