The Arizona Corporation Commission (ACC) announced on Wednesday, July 8 it had ordered Dharmesh Vora and Vora Wealth Management PLLC to pay $30,000 in administrative penalties for violating the Arizona Investment Management Act.
In October 2024, Vora received a three-year ban from the Securities and Exchange Commission (SEC) following a 13-month investigation into his alleged investing client assets into high-risk structured notes and doing so without adequate disclosures.
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