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May 13, 2020

SECURITIES AND EXCHANGE COMMISSION v. AMBASSADOR ADVISORS, LLC 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. September 07, 2022

    Adviser Must Pay SEC $2M After Passing On Self-Reporting

    A Pennsylvania federal judge on Wednesday ordered an investment advisory firm and three of its owners and officers to pay a combined $2 million to resolve an enforcement action from the U.S. Securities and Exchange Commission over the firm's mutual fund selection disclosures, but he declined to impose other sanctions he deemed to be overly punitive.

1 other articles on this case. View all »

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