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SEC Settles Claims Of Compliance Fails At Adviser's 2 Firms

By Jon Hill ( July 26, 2017, 10:54 PM EDT) -- A Connecticut financial adviser has been suspended from serving as a chief compliance officer for at least three years as part of a deal settling the U.S. Securities and Exchange Commission's claims that he and his two investment advisory firms failed to comply with agency rules for advisers of private funds....

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