Posts from October 2014.

Lincolnshire Management, Inc. ("LMI") has reached a settlement agreement with the Securities and Exchange Commission ("SEC") for sharing expenses between two companies' portfolios in a manner that improperly benefited one fund over the other. This settles charges that the...

The Securities Exchange Commission ("SEC") has recently charged Strategic Capital, LLC ("Strategic Capital") an independent advisory firm in the state of Washington, for violating rules 203(e) and 203(k)  the Investment Advisers Act of 1940,("Advisors Act"). Strategic Capital distributed "false...

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