Updated Monday, July 28, 2014 as of 4:18 AM ET
- RIAs
Advisor Gets Lifetime Ban, Nearly $1M Fine Over Ad Footnotes
Financial Planning
Thursday, May 29, 2014
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A ruling in an SEC case has fined a longtime investment advisor nearly $1 million and barred him from the industry for life for what his lawyer says was a technical mistake in the way he footnoted magazine advertisements and provided information to Morningstar.

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