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Monday, February 17, 2014

SEC and DOL Reach $21 Million Settlement with Adviser Over Alleged...

The Securities and Exchange Commission and Department of Labor reached settlements with Western Asset Management , a registered investment adviser and subsidiary of Legg Mason Inc., under which the Adviser agreed to pay approximately $21 million related to determinations by the SEC and DOL that the Adviser had purchased ineligible securities for ... (more)



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