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Articles Posted in Boulder Investment Adviser

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SEC Sanctions Colorado-Based Portfolio Manager for Forging Documents and Misleading Chief Compliance Officer

August 27, 2013 – The Securities and Exchange Commission  sanctioned a former portfolio manager at a Boulder, Colo.-based investment adviser for forging documents and misleading the firm’s chief compliance officer to conceal his failure to report personal trades. An SEC investigation found that Carl Johns of Louisville, Colo., failed to…

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