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Twenty Practical Steps to Better Corporate Governance | The Corporate Secretaries International Association (CSIA)

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Saturday, April 29, 2017

FINRA Charges Broker Over Misleading Offering Docs

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The Financial Industry Regulatory Authority filed charges Thursday against a broker who allegedly raised more than $1.6 million from his customers using misleading offering documents that omitted facts about his fund, including that the assets were actually controlled by a fraudster who lost $650,000 of the cash.

April 29, 2017 at 05:41AM

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