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Tag Archives: One Oak Capital Management

SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients

Washington, D.C.–(Newsfile Corp. – February 14, 2025) – The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to advisory services provided to their retail clients. According to …

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