Bad Actors

The SEC brought a <strong><a href="http://www.courthousenews.com/wp-content/uploads/2018/09/Bad-Actor.pdf">federal complaint</a></strong> against Steele Financial, saying the Indiana firm defrauded clients — many of them public schoolteachers — by selling them $13 million in high-risk securities without disclosing it stood to gain commissions as high as 18 percent.

INDIANAPOLIS — The SEC brought a federal complaint against Steele Financial, saying the Indiana firm defrauded clients — many of them public schoolteachers — by selling them $13 million in high-risk securities without disclosing it stood to gain commissions as high as 18 percent.

Categories / Securities

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