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SEC Sues Investment Firms, GC Over 'Sham' Oil And Gas Co.

By Sydney Price ( January 21, 2025, 9:53 PM EST) -- The U.S. Securities and Exchange Commission has accused a wealth management advisory firm, an affiliate and several of its representatives of defrauding investors by selling prohibited shares of a "sham" oil and gas company, while also accusing the firm's general counsel and chief compliance officer of playing an "active role" in the alleged misconduct....

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