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Arete Wealth, GC Can't Slip SEC Claims In Offering Fraud Suit

By Katryna Perera ( February 26, 2026, 4:55 PM EST) -- The U.S. Securities and Exchange Commission can move forward with its case against a broker-dealer and its former general counsel and chief compliance officer over an allegedly fraudulent stock offering by three representatives of a "sham" energy company, an Illinois federal judge ruled Thursday, while dismissing some claims related to off-channel communications and settlement releases, among other things....

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