Five Investment Advisors Penalized by the SEC for Alleged Violations of Marketing Rules
The Securities and Exchange Commission (SEC) has penalized five individual investment advisors for allegations of violating marketing rules. According to the SEC, each entity has settled the charges and agreed to pay $200,000 in combined penalties. The five firms are as follows: GeaSphere LLC Bradesco… Read More
Read more in: Politics, Legal & Regulation | Tagged enforcement, sec