ETF, Founder To Pay SEC $4.4M For Misleading Trustees

[Gunnar Larson]

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.

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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
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