Douglas Charlton

Douglas Charlton

K&L Gates LLP

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SEC Administrative Law Judge Bars Investment Manager for Misrepresenting GIPS Compliance

On May 27, 2014, an administrative law judge (ALJ) found ZPR Investment Management, Inc. (ZPRIM) and its former owner, Max Zavanelli, to have violated the Investment Advisers Act of 1940 for publishing misleading...more

6/18/2014 - Advertising Compliance Enforcement Actions False Advertising Misleading Statements SEC

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