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Articles Posted in DC

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Court Affirms SEC’s Sanction of Investment Adviser Over Fraudulent Performance Advertising

The U.S. Circuit Court of Appeals for the District of Columbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. Lucia and investment adviser Raymond J. Lucia Companies, Inc. (“Lucia Companies”) for violations of the Investment Advisers Act of 1940…

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