SEC bars Colorado portfolio manager for duping compliance officer

mardi 27 août 2013

A man walks past a doorway at the Fort Worth Regional Office of the SEC in Fort Worth The portfolio manager of a Colorado investment advisory firm has been barred from the securities industry for forging documents and misleading his firm's chief compliance officer to conceal his failure ...








via Business News http://finance.yahoo.com/news/sec-bars-colorado-portfolio-manager-181637760.html

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