Updated Saturday, April 19, 2014 as of 11:16 PM ET
Practice - Regulatory/Compliance
SEC Red Flag: Selling Stake in Firm to Client
Friday, February 22, 2013
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A Phoenix registered investment advisor has agreed to pay nearly $275,000 to the SEC in a case stemming from the sale of a stake in his firm -- at an allegedly inflated price -- to a client.

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