Advertising/Marketing

The SEC Sept. 21 charged a New York-based investment adviser and its affiliated distributor with improperly using $25 million in mutual fund assets to pay ...

Bennett and Bennett Group grossly overstated the amount of assets they “managed,” by at least $1.5 billion, in a calculated effort to inflate their profile ...

The words of Ray Lucia once could be heard from coast to coast. He touted the benefits of his Buckets of Money® presentation on a ...

This matter concerns misleading advertisements created by MCI, a New Hampshire-based registered investment adviser, and distributed by MCI and its then principal Mackensen in connection with ...

Broker-dealers aren’t alone in being able to satisfy a component of general solicitation rules by claiming a pre-existing relationship. Recent SEC updates make clear that ...

The Complaint alleged that Primary Assets, Accredited lnvestment, and Catranis used promotional material that exaggerated the profit potential and downplayed the risk of trading futures and ...

Financial advisers, the fund manager and other CAI staff involved in the marketing of the funds made false and misleading statements regarding the risks associated ...

FINRA is taking more baby steps to loosen up its advertising and communications rules. But it is also starting to raise a more fundamental question ...

The Complaint alleged that Wealth Creation, Fox Financial and Javor made misleading sales solicitations, in violation of NFA Compliance Rules 2-2(a),2-29(a\(1),2-29(bX1) and 2-29(b)(2); and that ...

This firm must turn to a professional acceptable to the NFA to help with future disclosure documents and the firm's promotional materials. It also must ...