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Broker, SEC Settle Suit Over Unregistered PE Fund

Law360, New York (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...
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Case Number

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Court

Texas Southern

Nature of Suit

850(Securities/Commodities)

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Date Filed

December 5, 2017

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