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SEC Sues Conn. Firm And CEO Over 'Mark-Ups,' Fees

Law360, New York (December 11, 2017, 8:57 PM EST) -- A Connecticut investment advisory firm and its top executive generated roughly $780,000 in undisclosed “mark-ups” and fees by sticking clients with risky securities from the firm’s proprietary brokerage account and costlier...
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Connecticut

Nature of Suit

850(Securities/Commodities)

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Date Filed

December 11, 2017

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