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SEC charges Scott Allen Fries, a former Ohio-based registered representative and investment adviser representative at Transamerica Financial Advisors, an SEC-registered broker-dealer and investment adviser, with defrauding at least seven investors out of… https://bit.ly/35QLHav
SEC files settled action against investment adviser/broker-dealer for failure to supervise retail retirement and nonretirement customer accounts to detect excessive trading and excessive commission charges.
According to the SEC, from 2017 through… https://bit.ly/2RI2NiA
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