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SEC Charges Bay Area Investment Adviser for Defrauding Clien

Daily newsbrief journal for September 2011, also see http://www.usdemocrats.com/brief for a global 100-page perpetual brief and follow twitter @usdemocrats


SEC Charges Bay Area Investment Adviser for Defrauding Clien

Postby admin » Wed Sep 28, 2011 2:53 pm

SEC Charges Bay Area Investment Adviser for Defrauding Clients and Falsifying Documents During SEC Exam
The Securities and Exchange Commission today charged a San Francisco-area investment adviser with fraud for lying to clients about how brokerage commission rebates were being used and producing phony documents to cover up the fraud during an SEC examination.
http://www.sec.gov/news/press/2011/2011-193.htm
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