SEC Fines Adviser For Undisclosed Movie Financing Deal

By Sydney Price (May 14, 2024, 10:21 PM EDT) -- A wealth management firm and its founder will pay $950,000 in combined disgorgement and penalties to settle the SEC's claims they failed to disclose conflicts of interest regarding investments in a film production company and favored a certain client's redemption requests over others, according to an order issued Tuesday....

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