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Guggenheim Agrees to Pay $20m for Failed Disclosure of Conflict of Interest
- Jessica Sleater
- Aug 10, 2015
- 1 min read
Guggenheim Partners Investment Management LLC agrees to pay $20m to the Securities and Exchange Commission after failing to disclose to other client investors that one of its executives received a $50m loan from an advisory client to invest in a Guggenheim acquisition. Click here to read more.
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