Stanley Bae: SEC bars 53-year-old former IA rep for putting clients in a bad investment
In reality, First Picks was struggling financially and lacked cash flows to fund operations, making it a risky investment. It routinely required new i...
To view this information, access to the Investment Adviser Watch
service is required.
Interested in subscribing to any combination of IA Watch, BD Watch, CPO/CTA Watch or PF Watch or have a question about the service?
Call 1-800-455-5844, option 2, prompt 1