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Articles Posted in CDOs

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SEC Charges Adviser and its COO with Fraud for Orchestrating Sham Cross Trade between Clients

A recent pair of SEC enforcement Orders against registered investment adviser Talimco, LLC and its Chief Operating Officer Grant Rogers highlight the need for advisers to be ever-mindful of their fiduciary duties to both clients when effecting cross trades between such clients. Cross trading occurs whenever an adviser arranges a…

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