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SEC Alleges RIA and Other Defendants Defrauded More Than 17,000 Retail Investors

by Ara Jabrayan | Apr 29, 2021 | RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, Uncategorized

On February 4, 2021, the SEC charged three individuals and their affiliated entities with running a Ponzi scheme that raised over $1.7 billion from securities issued by an asset management firm and Registered Investment Adviser (RIA). Approximately 4,000 of the 17,000...

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