ACC Sanctions Former Investment Adviser for Misleading Clients
June 12, 2025
June 12, 2025
PHOENIX, Arizona, June 12 -- The Arizona Corporation Commission issued the following news release on June 11, 2025:
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ACC Sanctions Former Investment Adviser for Misleading Clients
The Arizona Corporation Commission ordered respondents William Andrew Smith of Tucson and Smith & Cox, LLC to pay a $60,000 administrative penalty for committing securities fraud and investment advisory fraud.
The Commission found Smith and his firm breached . . .
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ACC Sanctions Former Investment Adviser for Misleading Clients
The Arizona Corporation Commission ordered respondents William Andrew Smith of Tucson and Smith & Cox, LLC to pay a $60,000 administrative penalty for committing securities fraud and investment advisory fraud.
The Commission found Smith and his firm breached . . .