SEC Says Adviser Owes $2.7M For Shielding Sale Conflict
By Suevon Lee ( May 31, 2016, 9:33 PM EDT) -- The U.S. Securities and Exchange Commission on Friday barred a New York-based investment adviser from practicing in the securities industry and ordered him to disgorge $2.75 million after he failed to disclose a conflict of interest arising from the attempted sale of his company....
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