Updated Wednesday, July 30, 2014 as of 1:03 AM ET
Practice - Regulatory/Compliance
Seattle Advisor Racks Up $15M in Settlements in 9 Years
Thursday, July 17, 2014
Partner Insights

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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