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Articles Posted in Jon C. Vaughan

SEC Investigates Two Firms for Failure to Disclose or Obtain Permission for Principal Transactions
InvestorLawyers

Securities fraud attorneys are currently investigating claims on behalf of investors who have suffered significant losses because their broker, adviser or firm did not notify or obtain their permission before executing trades on their account. According to the Securities and Exchange Commission, Parallax Investments LLC and Tri-Star Advisors allegedly executed thousands of transactions through their…

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