Mutual Fund Manager Owes SEC, CFTC $11M After Trial
By Katryna Perera ( November 18, 2024, 9:21 PM EST) -- A Wisconsin federal judge has ordered the operator of a mutual fund to pay more than $11 million to the U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission after being found liable by a jury of making untrue statements and breaching his fiduciary duty to investors....
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