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Advisory Firm Must Pay SEC $1.9M For Disclosure Failures

By Katryna Perera ( January 20, 2023, 9:37 PM EST) -- The U.S. Securities and Exchange Commission has ordered Boston-based investment adviser Moors & Cabot Inc. to pay nearly $2 million over claims that it breached its fiduciary duty to advisory clients by, among other things, failing to disclose certain payments it received from clearing brokers....

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