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The adviser made false and misleading claims about its investment strategies and their performance, failed to present net performance information alongside gross performance, and was ...
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The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
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It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...
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Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided ...
The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations
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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 ...
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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 ...
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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 ...
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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 ...
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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 ...
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