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The regulator has imposed a one-year ban on conducting exams for an accounting firm that allegedly botched exams of a controversial investment advisor.
The SEC has clamped down on Santos, Postal & Co. (SPC), an accounting firm responsible for conducting SEC-related exams, charging it and one of its partners, Joseph A. Scolaro, a 25-percent SPC owner, with inadequate performance in their conduct of surprise examinations of an investment advisor, SFX Financial Advisory Management Enterprises, whose president allegedly “secretly...
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