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SEC Fines Advisers For Link To Alleged $410M IPO Fraud

By Emilie Ruscoe ( January 15, 2025, 10:28 PM EST) -- Three investment adviser representatives have agreed to pay the U.S. Securities and Exchange Commission nearly $540,000 to end the regulator's claims that they acted as unregistered brokers while soliciting investors for a private equity firm accused of defrauding investors in a $410 million pre-IPO share scheme....

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