U.S. Securities and Exchange Commission

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SEC files suit against Wayne man over investment advisory fraud allegations

By Louie Torres | Dec 18, 2017

PHILADELPHIA – A federal agency alleges a Wayne resident engaged in fraudulent securities offering and investment advisory fraud.

SEC announces Pa. 'pay-to-play' settlement

By Shanice Harris | Feb 8, 2017

WASHINGTON – The United States Securities and Exchange Commission has announced nine settled enforcement actions involving private equity, venture capital and hedge fund sponsors accused of violating the pay-to-play rule - one of which donated to a Pennsylvania candidate

SEC settles action with investment firm for $300,000

By Deana Carpenter | Aug 4, 2016

PHILADELPHIA — The Securities Exchange Commission (SEC) on July 14 settled an action against RiverFront Investment Group of Richmond, Va.

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