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Private Advisor Group, LLC

Date:

August 9, 2022

Type of alert:

SEC Cease-and-Desist  

The SEC ordered Cease-and-Desist proceedings against Private Advisor Group, LLC. The respondent submitted an Offer of Settlement that the SEC has determined to accept. The firm allegedly committed several violations including not providing full disclosure, not fulfilling their duty of care obligations, and failing to implement written compliance policies designed to prevent violations of the Advisers Act. They are ordered to a censure and a civil penalty.

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