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Investment Adviser, Co-CEO Settle SEC Claims Over PE Funds

By Jon Hill ( June 30, 2017, 8:43 PM EDT) -- An Ohio investment management firm and its co-founder agreed Thursday to pay penalties totaling $750,000 to settle the U.S. Securities and Exchange Commission's claims over nearly $10 million in allegedly late capital contributions and improper borrowing from the firm's three private equity funds....

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