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Ex-RIA, CEO behind failed opportunity fund to pay $600k in penalties
The New York-based firm and its CEO made false statements and doctored portfolio data for a fund with positions in China, according to the SEC.
Commonwealth girding for loss of up to $24M in fight with SEC
It's highly unusual in the securities industry for a broker-dealer to put up such resistance to a regulator like the SEC.
With great growth comes great conflicts for RIAs
Where Wall Street goes, trouble is sure to follow.
Giant conflicts alleged involving a former advisor
'I worked my whole life trying to save for now, and I can't retire,' says Galia Meiri, one of the advisor's clients.