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SEC, NY Adviser Strike $30M Deal Over Fee Disclosure Issues

By Al Barbarino ( March 3, 2022, 11:56 AM EST) -- The U.S. Securities and Exchange Commission said Thursday that it has struck a more than $30 million settlement with New York-based City National Rochdale LLC, resolving claims that the investment adviser defrauded clients when it failed to disclose conflicts of interest tied to fees it earned on proprietary mutual funds. ...

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