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September 18, 2014

Posted  January 26, 2016

Investment advisory firm Strategic Capital Group LLC agreed to pay nearly $600,000 to settle SEC charges it engaged in hundreds of principal transactions through its affiliated broker-dealer without informing clients or obtaining their consent.  The SEC also charged the company with distributing false and misleading advertisements to investors.  SEC

Tagged in: Misrepresentations, Regulatory Violations, Securities Fraud,