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SEC Prosecutions

SEC Prosecutions

Chief Compliance Officer of Heartland Advisors Suspended from Practice Before the Commission

In the Matter of Jilaine H. Bauer, Esq., Respondent

  • 2012

Respondent engaged in insider trading in the shares of Heartland Group’s Short Duration High-Yield Municipal Fund, by redeeming shares in 2000 with knowledge that the fund had liquidity and pricing problems.

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