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SEC Says Adviser Broke Fiduciary Duty With Risky ETF Bets

By Katryna Perera ( May 4, 2023, 8:32 PM EDT) -- The U.S. Securities and Exchange Commission announced Thursday that it had settled for more than $800,000 with a North Dakota-based investment adviser and one of its representatives over claims that they breached their fiduciary duties related to the use of leveraged exchange-traded funds in discretionary client accounts....

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