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Summaries and explanations of the latest regulatory compliance announcements, reports and related stories.
SEC Files $1 Million DollarFraud Complaint Against Advisor
The Securities and Exchange Commission (“SEC”) filed a complaint in the U.S. District Court for the Northern District of New York in Buffalo against Cygnus Capital Management and the estate of Richard Ventrilla (“Ventrilla”) alleging that they had defrauded 22 investors of $989,000.