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Tag: Circle One Wealth Management

CCO Sanctioned for Incorrect Form ADV Filings

Doug Cornelius August 22, 2017 CCO Liability   [+]

According to the Securities and Exchange Commission, David I. Osunkwo failed as a CCO for incorrectly stating the amount of AUM and the number of clients for two affiliated investment advisers. Mr. Osunkwo relied on estimates provided to him by the Chief Investment Officer. For that, he was fined $30,000 and suspended for a year … Read more »

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