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SEC Obtains Final Judgement Against Investment Adviser’s Assistant Accused of Aiding...

A federal district court in the Western District of New York entered a final judgment against Amherst, New York resident Lauramarie Colangelo, formerly an...

SEC Charges Investment Adviser and Two Former Managers for Misleading Retail...

The Securities and Exchange Commission has settled charges against New York-based investment adviser deVere USA Inc. related to its alleged failure to disclose conflicts...