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The registered investment adviser (RIA) has settled with the SEC, which has filed a lawsuit against two top former officials of the firm.
The SEC reports that deVere USA, Inc., a New York-based registered investment adviser, or RIA, has agreed to pay an $8 million civil penalty related to its alleged failure to disclose conflicts of interest to its retail clients. The settlement will result in the establishment of a so-called fair fund that will distribute the penalty...
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