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DC Circ. Vacates SEC Sanctions Over Broker Conflicts

By Rachel Graf ( April 30, 2019, 5:27 PM EDT) -- The D.C. Circuit on Tuesday vacated a combined $150,000 in fines the U.S. Securities and Exchange Commission had levied on an investment advisory firm and its owners over conflicts of interest disclosures, finding a lapse was merely negligent rather than intentional....

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