Home Business The SEC punishes the RIA with an undisclosed amount From Currency Markets

The SEC punishes the RIA with an undisclosed amount From Currency Markets

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The SEC punishes the RIA with an undisclosed amount From Currency Markets

Story Highlights

  • Cowen Prime Advisors, a New York-based registered investment advisor that manages $336 million in assets, agreed to pay more than $750,000 to settle allegations that it breached its fiduciary duty by steering clients into certain funds that netted revenue for the firm when lower-cost funds were…