![Financial services / Financial regulation / Government / Securities Fraud Deterrence and Investor Restitution Act / Registered Investment Advisor / Investment Advisers Act / U.S. Securities and Exchange Commission Financial services / Financial regulation / Government / Securities Fraud Deterrence and Investor Restitution Act / Registered Investment Advisor / Investment Advisers Act / U.S. Securities and Exchange Commission](https://www.pdfsearch.io/img/350943a5c65818e986f0379e8af6ef22.jpg)
| Document Date: 2014-11-13 16:48:42 Open Document File Size: 86,02 KBShare Result on Facebook
City Orange / / Country United States / / Currency USD / / Event Judicial Event / / IndustryTerm personal bank accounts / / Organization Division of Enforcement / Securities and Exchange Commission / United States District Court for the District of Connecticut / / Person GREGORY VIOLA / / Position Administrative Law Judge / unregistered investment adviser / officer / Brent J. Fields Secretary / investment adviser / / ProvinceOrState Connecticut / /
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