Home Advertising/Marketing
Advertising/Marketing
If your firm pays a radio station to run an ad, you better tune in. That’s one lesson from the SEC enforcement action against ...
This matter involves violations of the Advisers Act and certain rules thereunder by CPI, a registered investment adviser, that: (i) distributed hundreds of radio advertisements ...
A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out ...
That old phrase “the left hand doesn’t know what the right hand is doing” comes to mind given that an advisory firm has just settled an ...
MFS also falsely claimed that the hypothetical portfolio was based on MFS’s own quantitative stock ratings dating back to the mid-1990s, even though before 2000 ...
The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics come from the SRO’s ...
Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and three years, ...
The Advisers Act’s advertising rule may bear a few gray hairs as it nears 60 years old, but its age isn’t stopping many firms from ...
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch. Three investment advisers and Leonard Schwartz, ...
Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers Act when ...