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SEC Fines NJ Adviser $400K Over High Mutual Fund Fees

By Al Barbarino (September 9, 2021, 4:45 PM EDT) -- The U.S. Securities and Exchange Commission ordered a New Jersey-based investment adviser to disgorge nearly $400,000 on Thursday, claiming that the firm failed to get the best mutual fund prices for clients by selecting funds that reduced the firm's costs instead....

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