Since at least January 2014, Springer and the investment adviser firm he controls, Springer Investment Management, Inc. dba Springer Financial Advisors (“SFA”), which is registered with the SEC, have engaged in a pattern of deceptive conduct specifically targeted at retirees and near-retirees, including making false and misleading representations to clients and prospective clients and breaching the fiduciary duty they owed to their clients.

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IMDDA’S SECOND ANNUAL SURVEY ON SEXUAL HARASSMENT IN THE $95 TRILLION GLOBAL INVESTMENT MANAGEMENT INDUSTRY REVEALS PROGRESS IN UNCOVERING HARASSMENT, BUT CHALLENGES REMAIN 

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On December 4, 2019, the Securities and Exchange Commission, (the “SEC” or “Commission”) filed a complaint against the defendants SBB Research Group, LLC (“SBB”), a registered investment adviser to several private investment funds (the “Funds”), Samuel Barnett (SBB’s owner and Chief Executive Officer (“CEO”) and Matthew Aven (SBB’s Chief Operations Officer (“COO”).

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