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Owner, Funds Try to Deceive Clients

By Thomas Gorman on September 10, 2025
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Telling the truth is key to the federal securities laws. Viewed in this context it is fundamental that  advisers, their owners and others are candid with clients. Indeed, advisers have a fiduciary duty to clients, the highest duty under the …

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Source

  • Posted in:
    Banking, Finance and Securities
  • Blog:
    SEC Actions
  • Organization:
    Thomas O. Gorman
  • Article: View Original Source

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