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DiCello Levitt Expands Whistleblower Practice With Preeminent SEC Whistleblower Team
SEC Prosecutions

SEC Prosecutions

Cease-and-Desist, Censure and Civil Money Penalty in Failure to Supervise Case

In the Matter of Comprehensive Capital Management, Inc., Respondent

  • 2013
  • $40,000

Respondent is a New Jersey-based registered investment adviser that formerly employed Timothy J. Roth, who stole more than $16 million from clients over roughly an 8-year span. The SEC found that respondent failed to reasonably supervise Mr. Roth.

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