SEC
Whistleblower
Advocates

September 04, 2015

Chris Yoo, Summit Asset Strategies Investment Management, Summit Asset Strategies Wealth Management

Financial Fraud

SANCTION AMOUNT: $1,332,274

Defendants: Summit Asset Strategies Investment Management, Summit Asset Strategies Wealth Management
Chris Yoo

Settlement of fraud charges against investment advisor and his two firms arising from alleged excessive withdrawal of fees based on inflated investment values, as well as a failure to disclose significant referral fees.

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