SEC: Enforcement

The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...

"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...

"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...

‘Tis the season for Form ADV updates for most advisers, so it’s worth heeding a compliance lesson tied to faulty disclosures

"This enforcement action underscores the adverse consequences of the Commission’s approach to regulation in the crypto space and adds to the ambiguity that hangs over ...

Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...

HG Vora Capital Management failed to file the required Schedule 13D disclosing its “control” purpose, current shareholdings, and other specified information within ten days

Despite the SEC having a client's email to his rep asking why he hadn't long ago been placed in a cheaper share class, the Commission ...

Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it

"investor interest in ESG has also led to significant growth in investment advisers offering ESG-branded investment products. This can also lead to situations where a ...