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Dorsey & Whitney LLP

SEC Settles Unregistered Broker Charges Tied To Offering Fraud

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The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be...more

Goodwin

Financial Services Weekly News Roundup - December 2014

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The SEC’s Semiannual Regulatory Agenda. The Federal Office of Information and Regulatory Affairs posted the SEC’s most recent Semiannual Regulatory Agenda which, in compliance with the Regulatory Flexibility Act, identifies...more

Dorsey & Whitney LLP

Three Principals of Adviser Settle SEC Charges Over Undisclosed Conflicts

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The Commission filed another settled action based on undisclosed conflicts involving an investment adviser. In this proceeding Respondents, principals of the adviser, failed to disclose a fee splitting arrangement with an...more

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