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Advertising/Marketing (180)
Your search for Advertising/Marketing returned 180 results.
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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...
9/06/2018 | 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...
8/09/2018 | Content area: Investment Adviser
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and ...
7/26/2018 | Content area: Investment Adviser
The Advisers Act’s advertising rule may bear a few gray hairs as it nears 60 years old, but its age isn’t stopping many firms from diving into new med...
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...


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