While such may make for a good detective story, that should not be the standard of presentation for a formal regulatory document setting forth the circumstances on which an individual has been barred from the securities industry.
As adviser to its own proprietary mutual funds and manager of individual client accounts, AFAM may purchase, sell or hold positions in the securities that appear in this presentation.
As advisor to its own proprietary mutual funds and manager of individual client accounts, AFAM may purchase, sell or hold positions in the securities that appear in this presentation.