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Adviser To Pay $2M To Settle SEC Suit Over Risky Investing

By Al Barbarino ( July 1, 2020, 7:03 PM EDT) -- A Connecticut-based investment adviser will pay $2 million in disgorgement and civil fines for allegedly investing $19 million in investor money while "grossly understating" inherent risks and failing to conduct even basic due diligence on questionable companies, according to a statement Wednesday from the U.S. Securities and Exchange Commission and its original complaint. ...

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