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Summit Planning Group, Inc. and Richard Urciuoli

Date:

September 27, 2023

Type of alert:

SEC Administrative Proceeding  

The SEC deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be instituted against Summit Planning Group, Inc. and Richard Urciuoli. Urciuoli, as Summit’s sole owner and investment adviser representative, invested client funds in a high-risk product without a reasonable basis, resulting in significant losses. Both Respondents are censured and have been ordered to pay fines.

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