SEC fine is latest hit to Aletheia

Diamond, Randy
June 2011
Pensions & Investments;6/13/2011, Vol. 39 Issue 12, p3
The article presents information on recent charges of the U.S. Securities & Exchange Commission (SEC) on Aletheia Research and Management Inc. The SEC charged that company officials didn't tell its potential clients that deficiencies that had been discovered in its SEC examinations is the firm's latest woes. The company has been fines 400,000 dollars and company officials have reorganized the management structure and insists that the future is bright.


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