Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Advertising/Marketing (240)
Your search for Advertising/Marketing returned 240 results.
Sorted by Date

7/18/2019 | Content area: Investment Adviser
The latest bout between the SEC and Ray Lucia over claims the former adviser allegedly hyped the performance of his advisory firm plays out with the a...
7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
7/05/2019 | Content area: Investment Adviser
They’ve been years in the making and are a once-a-decade development (IA Watch, May 25, 2017). The CFA Institute June 30 released its Global Investmen...
6/07/2019 | Content area: Investment Adviser
The latest episode in the seven-year battle between a former San Diego investment adviser and the SEC over allegedly misleading marketing – a case tha...
5/16/2019 | Content area: Investment Adviser
A federal appeals court May 13 dismissed an appeal by adviser Louis Navellier in an attempt to have his compliance consultant’s records deemed to be p...
2/28/2019 | Content area: Investment Adviser
The recent government shutdown resulted in the SEC operating with a bare bones staff only addressing emergencies involving market integrity, investor ...
2/14/2019 | Content area: Investment Adviser
For the first time in two years, OCIE’s 2019 exam priorities letter didn’t call out robo-advisers as a key focus (IA Watch, Jan. 2, 2019). But does th...
1/28/2019 | Content area: Investment Adviser
The SEC charged Present and F-Squared in 2014 with misleading investors about the AlphaSector strategy, the flagship product of F-Squared which Presen...
1/01/2019 | Content area: Investment Adviser
This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients on investment ad...
12/21/2018 | Content area: Investment Adviser
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgea...
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...
12/20/2018 | Content area: Investment Adviser
Sterling, a registered investment adviser, made material misstatements and omissions to its clients and prospective clients in advertising the back-te...
11/29/2018 | Content area: Investment Adviser
A new lawsuit filed in federal court in California seeks to have further SEC ALJ proceedings against former IA Ray Lucia dismissed, claiming the ALJ s...
10/18/2018 | Content area: Investment Adviser
We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortu...
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...
9/13/2018 | Content area: Private Fund
A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out that w...
9/06/2018 | Content area: Investment Adviser
That old phrase “the left hand doesn’t know what the right hand is doing” comes to mind given that an advisory firm has just settled an enforcement ac...
8/31/2018 | Content area: Investment Adviser
MFS also falsely claimed that the hypothetical portfolio was based on MFS’s own quantitative stock ratings dating back to the mid-1990s, even though b...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US