2 Aug
2023
2 Aug
'23
10:18 a.m.
ETF, Founder To Pay SEC $4.4M For Misleading Trustees By Katryna Perera The U.S. Securities and Exchange Commission on Tuesday settled with an investment adviser and the entities he controls for a combined $4.4 million, resolving allegations that they misled the trustees of an exchange traded fund they managed in order to obtain $20 million in rescue financing to avoid potential bankruptcy. Order attached | Read full article » | Save to favorites » https://www.law360.com/capitalmarkets/articles/1706435?nl_pk=8da16ff7-f140-492c-bcb7-88f09ca11890&utm_source=newsletter&utm_medium=email&utm_campaign=capitalmarkets&utm_content=2023-08-02&read_main=1&nlsidx=0&nlaidx=6