Heartland under the SEC’s microscope

Hardeep Dhillon
01 Jan 2004

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The Securities & Exchange Commission (SEC)’s probe into pricing abuses in the mutual fund industry has for the first time stretched to the high-yield market, after the regulator charged Heartland Advisors with insider trading.

The SEC last month announced civil fraud charges against Heartland, its CEO William Nasgovitz, two portfolio managers, four officers, five directors, a pricing service and one individual for misrepresentations, mispricing and insider trading in two Heartland

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