Updated Tuesday, July 29, 2014 as of 8:51 AM ET
Practice - Regulatory/Compliance
SEC Bars Advisor for False Registration
by: Kenneth Corbin
Monday, November 26, 2012
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The Securities and Exchange Commission has initiated cease-and-desist proceedings against a New York-based advisor for submitting false information on a registration form in a bid to duck its regulatory obligations with state authorities.

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