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SEC, Adviser Strike $1.2M Deal Over Fee Reporting Lapses

By Al Barbarino (January 12, 2022, 6:01 PM EST) -- The U.S. Securities and Exchange Commission struck a more than $1.2 million settlement with investment adviser O.N. Investment Management Co., or ONIMCO, for alleged failures to disclose that the investments it chose for clients resulted in revenue sharing and fees that were sent to its parent company, O.N. Equity Sales Co., or ONESCO....

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