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Sterling Global Strategies fined by SEC

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Sterling Global Strategies fined by SEC

The U.S. Securities and Exchange Commission ordered Sterling Global Strategies LLC to pay $175,000 as civil money penalty for making material misstatements and omissions to its clients and potential clients in advertisement of back-tested performance of the Sterling Tactical Rotation Index.

The company's back-tested performance calculations contained errors and deviated from the pricing methodology, among other failings.

A cease and desist order was also issued by the SEC against Sterling Global.