Advertising/Marketing

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 ...

Steer clear of placing hypothetical performance ads on your public website

The new survey results offer meaningful insights into what firms are doing regarding marketing nearly two years after the IA marketing rule became effective

Baseball great Yogi Berra famously said 'it ain’t over till it’s over.' After a court decision in a case involving a CCO, the question is ...

A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares

Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers

Avoid this mistake: Advertising performance 'without an accompanying qualification or disclaimer on that page suggesting such results were anything other than performance results of the ...