The Securities and Exchange Commission Friday charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks.

According to the SEC order, examiners sought records from David  Dube and Peak Wealth Opportunities LLC while examining a mutual fund they advised called the Stock Car Stock Index Fund. Despite repeated requests, the order says, Dube and Peak Wealth failed to furnish certain records to the SEC.

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