Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme

From Hedge Fund News From HedgeCo.Net
January 11, 2017 - 11:51am
(HedgeCo.Net) — The Securities and Exchange Commission today announced that a Connecticut-based investment adviser has agreed to admit wrongdoing and pay more than $575,000 to settle charges that he defrauded a client and then compounded his scheme by attempting to […]

Continue reading this article »