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Compliance Chief Wants Out Of SEC Fraud Suit

By Katryna Perera ( April 8, 2025, 7:52 PM EDT) -- The chief compliance officer and general counsel of a wealth management firm has urged an Illinois federal judge to dismiss him from a U.S. Securities and Exchange Commission suit over an alleged offering fraud by former representatives at his firm, saying "the commission does not even understand what its own pleading burden in this case is."...

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