Adviser who steered clients to Aequitas agrees to pay $1.3 million fine

//Adviser who steered clients to Aequitas agrees to pay $1.3 million fine

Adviser who steered clients to Aequitas agrees to pay $1.3 million fine

Federal securities regulators allege Kristofor R. Behn didn't disclose conflicts of interest to clients he steered to Aequitas products. Aequitas collapsed in February 2016.

Article by [author-name] (c) Banking & Financial News - Banking & Financial News Headlines | Bizjournals.com - Read full story here.

By | 2019-07-01T21:30:10+00:00 July 1st, 2019|Economics|

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