Home Advertising/Marketing
Advertising/Marketing
The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations
The firm advertised that it was rated a 'Top 12 Financial Advisor' by Barron’s when it actually was rated a 'Top 1200 Financial Advisor' by ...
The firm has recognized and disclosed various conflicts so it lacked a reasonable basis for believing it would be able to substantiate an ad that ...
The ad claimed the firm 'provides clients with conflict-free advice' while the firm lacked a reasonable basis for believing it would be able to substantiate ...
The firm claimed that advertised statements were testimonials but the quotations came from a person who was no longer a client of the firm and ...
The firm claimed it was 'a true fiduciary that puts the client first by aligning incentives and eliminating conflicts of interest' without providing any context ...
The firm's web ad claimed it was recognized by Reuters AdvisePoint as one of 500 'Top Advisers' in the U.S. without disclosing that the award ...
The adviser's ad claimed a principal 'had been named one of the top wealth managers by the readers of San Diego Magazine for 14 consecutive ...
The firms placed an ad on its website containing two third-party ratings that did not clearly and prominently disclose the date on which the rating ...
The firm disseminated an ad claiming it 'serve[s] individuals and institutions independently, with no conflict of interest' without providing any context and after the firm ...