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Advisory Biz, Owner To Pay SEC $1.5M In Cherry-Picking Suit

By Sydney Price (November 16, 2023, 7:29 PM EST) -- An investment adviser and her Delaware-based firm have been ordered to pay $1.5 million to the U.S. Securities and Exchange Commission to settle claims they committed fraud by allocating poorly performing trades to certain clients while placing profitable trades in favored accounts, including the firm owner's and her family members'....

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