Broker, SEC Settle Suit Over Unregistered PE Fund
By Dunstan Prial ( December 6, 2017, 6:21 PM EST) -- A former Houston-based financial adviser who ran a branch office for a registered brokerage firm on Wednesday settled fraud allegations leveled by the U.S. Securities and Exchange Commission in a suit in Texas federal court alleging he misled investors while raising $860,000 for a fund with no connection to the firm for which he worked....
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