Advertising/Marketing

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 ...

Many CCOs have heard the protestations from marketers. “That ad didn’t need to be run through compliance first because the materials would go to only ...

Luck’s business partner, John Geringer, raised in excess of $60 million from investors by misrepresenting the Fund’s performance and strategy. The amended complaint further alleged that ...

Schoenberger misappropriated at least $67,000, which he used for, among other things, a down payment on the construction of a new home and to pay ...

The Complaint alleged that Streifel used deceptive and misleading promotional material and made misleading and unbalanced sales solicitations, in violation of NFA Compliance Rules 2-29(b)(1) ...

In remarks at the Cato Summit on Financial Regulation, Commissioner Piwowar raises issues like accredited investors and choosing Reg D over Reg A.

Three strikes and you’re out. A critical SEC exam best practice is to make sure you address and correct deficiencies previously cited by the Commission and ...

First, I’d like to explore the debate over short-termism and capital formation in our markets. Are our financial markets supporting the development of healthy companies ...

It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...