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SEC Orders Adviser To Pay $1.5M Fine In Excessive Fees Case

By Katryna Perera ( June 21, 2023, 8:26 PM EDT) -- The U. S. Securities and Exchange Commission has settled with a New York-based investment adviser for over $2 million to resolve allegations that it charged excess management fees and failed to disclose a conflict of interest to investors regarding its fee calculations. . . .

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