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SEC Charges NJ Adviser with Fraud, Breach of Fiduciary Duty
The Securities and Exchange Commission (SEC) announced that it has filed charges against David Yow Shang Chiueh and his New Jersey-based investment advisory firm, Upright Financial Corp. (UFC) (“Defendants”), for fraud and breach of fiduciary duty, among other securities law violations. In November 2021, the firm settled charges that they had breached the fiduciary duties outlined in the Concentration Policy of its mutual fund, known as Upright Growth Fund, by…
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