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1st Circ. Affirms SEC's $32M Win Against Investment Adviser

By Jessica Corso ( July 17, 2024, 9:43 PM EDT) -- The First Circuit upheld roughly $32 million in fees, disgorgement and interest the U.S. Securities and Exchange Commission won against a Nevada-based investment adviser, who was found to have defrauded clients about the track record of a once popular investment scheme, saying the adviser "acted with a high degree of recklessness" in promoting the strategy. ...

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