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SEC Prosecutions

SEC Prosecutions

Cease-and-Desist Order, Censure and Fine in RIA Failure to Conduct Reviews Case

In the Matter of Dupree Financial Group, LLC, Respondent

  • 2016
  • $25,000

Administrative proceeding brought on the alleged failure of respondent, a registered investment adviser, to conduct annual compliance reviews over a multi-year period. The SEC found that respondent had not conducted any of the required reviews from the time of its initial registration in 2010.

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