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By Melanie Waddell, AdvisorOne |
August 10, 2012
The SEC's Asset Management Unit charged David Dube and his firm, Peak Wealth Opportunities, on Friday with failing to provide examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks.
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By Marlene Y. Satter, AdvisorOne |
June 28, 2012
Recent SEC actions include shutting down two Ponzi schemes, one that brought in $100 million and another that collected $42 million. A Malaysian advisor was sued for not advising.