SEC Charges New York RIA With Pushing Unregistered Securities

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A New York-based RIA raised more than $75 million from hundreds of investors after soliciting unregistered securities offerings without approval from their registered broker/dealer, while failing to tell clients the firm owed about $750,000 to the company connected to the unregistered offerings, according to new charges from the Securities and Exchange Commission (SEC).

Mark Opila

Mark Opila

Accomplished executive leader adept at revitalizing underperforming operations, securing and managing key account relationships, and driving business growth goals. CEO of Patrina, responsible for corporate financial activities, all legal compliance, and shareholder communication.

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