September 03, 2019

Lefavi Wealth Management, Inc.

Trading and Pricing

SANCTION AMOUNT: Approximately $1,150,000

Defendants: Lefavi Wealth Management, Inc.

Settled administrative proceeding against a registered investment adviser charged with failing to disclose conflicts of interest to advisory clients. The conflicts arose out of Respondent's alleged receipt of additional compensation from recommending and selling alternative investments such as non-traded real estate investment trusts, business development companies, and private placements.

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