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February 04, 2015

Securities and Exchange Commission v. Total Wealth Management, Inc. et al

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. February 05, 2015

    SEC Says Calif. Adviser Used Investor Funds For Settlement

    The U.S. Securities and Exchange Commission on Wednesday hit a San Diego investment advisory firm and its principal with a suit alleging they used investor funds to pay an SEC settlement over an alleged kickback scheme, and won an order temporarily freezing the company's assets from a California federal judge.

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