Advertising/Marketing

The SEC charged Present and F-Squared in 2014 with misleading investors about the AlphaSector strategy, the flagship product of F-Squared which Present launched in the ...

This primer is written by Lauri London. She is in private law practice with the firm of Cohen & Buckmann PC where she advises clients ...

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 ...

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. ...

Sterling, a registered investment adviser, made material misstatements and omissions to its clients and prospective clients in advertising the back-tested performance of the Sterling Tactical ...

A new lawsuit filed in federal court in California seeks to have further SEC ALJ proceedings against former IA Ray Lucia dismissed, claiming the ALJ ...

We’ve told you before of James Winkelmann and his St. Louis-based advisory firm, Blue Ocean Portfolios (IA Watch, March 23, 2017). He had the misfortune ...

Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KISS ...

The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) that only solicit and/or accept ...

The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...