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| | Henry Weingarten: Admin. Proc. Rel. No. IA-2019 / March 19, 2002 |
 | | Weingarten is an Investment Adviser under Section 202(a)(11) of the Advisers Act, because he engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities for compensation. |
 | | On February 1, 2002, Weingarten consented to the entry of a Final Judgment of Permanent Injunction and Other Relief as to Henry Weingarten ("Final Judgment"), without admitting or denying the allegations in the complaint, except as to jurisdiction, which he admitted. |
 | | According to the complaint, although Weingarten disclosed on his website that UNDR was a client, he never disclosed his conflict of interest to the beneficial owners of the accounts he managed, and he did not disclose that he was paid 250,000 shares of UNDR stock. |
| www.sec.gov /litigation/admin/ia-2019.htm (839 words) |
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