Updated Sunday, November 23, 2014 as of 12:52 AM ET

Seattle Advisor Racks Up $15M in Settlements in 9 Years

A Seattle advisory firm that has paid out almost $14.5 million in customer settlements in the past nine years, according to regulatory filings, is now paying another $590,000 to settle SEC charges.

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Comments (1)
Why isn't this guy in jail?
Posted by James M | Friday, July 18 2014 at 9:38AM ET
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