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Golf Tix Gifts Cost Investment Firm, Owner $400K SEC Fine

By William Gorta (February 9, 2017, 5:42 PM EST) -- Minnesota investment adviser firm Jeffrey Slocum & Associates and its eponymous president and majority owner have been assessed a combined civil penalty of $400,000 by the U.S. Securities and Exchange Commission for, among other things, allowing employees to accept gifts of tickets to the Masters golf tournament while telling investors that they had a strict code of ethics, the agency announced Wednesday....

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