SEC bans portfolio manager for misleading compliance officer
The charges are the agency's first under Rule 38a-1(c) of the Investment Company Act.
The Securities and Exchange Commission has banned a Colorado portfolio manager for five years for misleading and obstructing a chief compliance officer.
The charges are the agency's first under Rule 38a-1(c) of the Investment Company Act.
An SEC investigation found that Carl Johns of Boulder Invest
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