The proposed amendments also are designed to collect additional data for the Commission’s use in its regulatory programs, including examinations, investigations and investor protection efforts ...
CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy
These amounts are effective beginning on January 15, 2022, and will apply to all penalties
ONIMCO had a conflict of interest when it recommended Sweep Account Options to its clients
Language purporting to limit an adviser’s liability in an advisory agreement is also called a 'hedge clause.' Whether a particular hedge clause is misleading is ...
The defendants improperly registered Bóveda with the Commission as an Internet IA
Walker solicited investors to purchase 1 Global securities; advised investors about the merits of the investments; and received commissions of approximately $393,000 that were transaction-based ...
Miller is the majority owner/CEO of PeachCap and also served as PCTA’s CCO
Abbate held the titles of COO and portfolio manager for fund A and the titles of CIO and portfolio manager
"An investment adviser’s fiduciary duty also includes a duty of care. To fulfill this obligation, an adviser, among other things, must provide investment advice in ...