A Phoenix registered investment advisor has agreed to pay nearly $275,000 to the SEC in a case stemming from the sale of a stake in his firm -- at an allegedly inflated price -- to a client.
SEC Red Flag: Selling Stake in Firm to Client
To continue, please sign in or become a member.
Join the BIC
MEMBERSHIP IS FREE
- Access to essential information that independent advisors need to make informed decisions
- Exclusive E-Newsletters delivering the latest headlines to your inbox
- Access to white papers, web seminars, blogs, discussion boards, and CE exams
Have an account?
SIGN IN HERE