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Adviser, Atty Settle SEC Charges Over Referral Scheme

By Cara Mannion (January 9, 2017, 8:03 PM EST) -- A Connecticut-based attorney and an investment adviser on Monday settled the U.S. Securities and Exchange Commission's allegations that they concocted a scheme to disguise as falsified payments for legal services the attorney's illicit fees from referring an elderly widow's financial business to the adviser....

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