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Join the Securities Litigation and Enforcement Group on LinkedInFeds Allege Employee Impersonated Firm’s President in SEC Inquiry | Compliance Week
A former portfolio manager who allegedly impersonated the president of his firm has become the latest person to turn a routine civil SEC investigation into criminal charges against them for perjury and obstruction of justice. via Feds Allege Employee Impersonated Firm’s President in SEC Inquiry | Compliance Week.