Mealey's (January 31, 2023, 11:02 AM EST) -- DURHAM, N.C. — After a North Carolina federal judge denied its dismissal motion in a case over the U.S. Securities and Exchange Commission’s allegations of “a series of fraudulent and improper schemes” that defrauded clients of more than $75 million, a former investment advisory firm filed an answer asserting defenses including that it “complied with the rules and regulations of the SEC at all relevant times.”...