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The curious case of an airline baggage handler

RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...

Today’s advisers play in a whole different media landscape than their predecessors.   Take Blackrock Financial Management ($833B in AUM) in New York. Its latest ...

The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for work ...

Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitted to publish without required disclosure. ...

This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgeable operates a “robo-adviser”: an automated digital investment advisory ...

OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to their compliance programs that would ...

In recognition that the way the world communicates has changed, OCIE has released its 5th risk alert of the year. It features observations examiners culled from ...

Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly released 2018 Electronic ...

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 ...

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, ...

Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers Act when ...

HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing testimonials concerning HBA, ...

Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Testimonials” section displaying statements by ...

Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both based in Richboro, Pennsylvania. ...

Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and services it renders. These testimonial ...

In a first, the SEC has secured the appointment of a receiver in connection with an alleged fraudulent initial coin offering targeting retail investors. On ...

A peer shares the RIA's compliance manual, complete with numerous P&Ps.

The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars” and ...