SEC Charges Bay Area Investment Adviser for Defrauding Clien
Posted: Wed Sep 28, 2011 2:53 pmSEC 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
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