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Testimonials (20)
Your search for Testimonials returned 20 results.
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12/21/2018 | Content area: Investment Adviser
Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitte...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
9/20/2018 | Content area: Investment Adviser
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against Creative Planning ($36...
9/18/2018 | Content area: Investment Adviser
This matter involves violations of the Advisers Act and certain rules thereunder by CPI, a registered investment adviser, that: (i) distributed hundre...
7/12/2018 | Content area: Investment Adviser
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz,...
7/10/2018 | Content area: Investment Adviser
Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers ...
7/10/2018 | Content area: Investment Adviser
HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing test...
7/10/2018 | Content area: Investment Adviser
Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Test...
7/10/2018 | Content area: Investment Adviser
Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both base...
7/10/2018 | Content area: Investment Adviser
Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and service...
4/07/2014 | Content area: Investment Adviser
Last week, the SEC's Division of Investment Management released new guidance on when investment advisers can publish social media comments about their...
4/02/2014 | Content area: Investment Adviser
The SEC's Division of Investment Management's 2014 guidance on the use of social media and what may or may not be considered a testimonial.
3/20/2013 | Content area: Investment Adviser
A peer shares the authorization form the firm uses to get permission from a client to publish her name.
5/23/2011 | Content area: Investment Adviser
You know you must stay away from testimonials or risk the wrath of the SEC but sharing a partial client list - within certain bounds - can be easily a...
1/04/2010 | Content area: Investment Adviser
Videos, password-protected views of current holdings, customized client pages, tax and college calculators and targeted articles. These are among the ...
10/19/2009 | Content area: Investment Adviser
Mistakes with advertising and marketing generate enough deficiencies to reside within the top 5 issued by SEC examiners. In the fiscal year just ended...
9/14/2009 | Content area: Investment Adviser
Online meeting spots like Facebook, LinkedIn and twitter tantalizingly offer the chance to reach younger potential clients at a cheaper cost but worri...
12/02/2005 | Content area: Investment Adviser
This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.
3/01/2004 | Content area: Investment Adviser
Investment Advisers Act of 1940 - Rule 206(4)-1(b) Investment Counsel Association of America, Inc. Invest...
8/28/1997 | Content area: Investment Adviser
This is the 1997 no-action letter from the SEC's Division of Investment Management requested by Cambiar Investors. The RIA sought, and received, a det...


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