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Examinations Enforcement: Settlement

Pediatrician measures Asian female child's height during visit of child with her mother to medical clinic for consultation. Pediatrics
The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...
Feeling depressed concept. Exhausted young man in suit covering face with hand while standing against grey background. He is tired of endless work and lack of money
The adviser failed to both adopt and implement P&Ps regarding investor communications that could have prevented the violations
Side view of man in suit pointing at himself looking at shadow with long nose of a liar.
An internal review found that some investors received material holdings and exposures information about the fund without compliance’s review and approval
A young businessman slipping on a banana peel
The issues stemmed from failing to disclose conflicts in the firm's variable annuity and cash sweep money market fund selection practices, and making recommendations that ...
Lost Something. Looking For Keys Or Things
Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...
Dog mischief. Two dogs with innocent expression after destroy a pillow. separation anxiety and obedience training concept. High angle view.
The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...
Businessman or politician cross finger, hiding behind his back during he get handshake to another person, businessman. Businessman pretend to be good person, he is liar. White collar worker is fraud
He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...
symbolizing corporate dishonesty or perjury
During the examination, Commission staff informed Ali about the Advisers Act custody rule’s requirements and its prohibition against commingling client money with the firm’s. However, ...
Businessman holding USD banknote for payment.US dollar is main and popular currency of exchange in the world. Investment and saving concept.
CCA benefited from this arrangement by deferring payment on its legal costs for multiple years
Close-up Of Businessman Hands Giving Cheque To Other Person In Office
A staffer at the adviser "made a campaign contribution to a candidate for elected office in Minnesota, which office had influence over selecting investment advisers ...

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