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Former chief compliance officer guilty of aiding and abetting fraud

gavel-courtroom

His Northbrook, Ill.-based RIA misappropriated client assets while layering on fees

An Illinois federal court entered a final judgment against David Goulding, the former chief compliance officer of The Nutmeg Group, a Northbrook, Ill.-based RIA that the Securities and Exchange Commission charged with fraud for misappropriating client assets and misrepresenting the value of 15 inves

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