SEC, DOJ Charge Wisconsin Advisor With Defrauding Investors of Nearly $2M
According to the SEC and DOJ, Liddle bilked about $1.9 million out of 13 clients, many of whom were retirees. According to SEC charges, Liddle’ s misconduct stretched from June 2019 through May of last year. In the Reg BI-related action, the SEC argued that WIS and several of its reps violated the care and disclosure obligations in the rule by recommending the L Bonds,…
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