Advertising/Marketing

HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing testimonials concerning HBA, ...

Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Testimonials” section displaying statements by ...

Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both based in Richboro, Pennsylvania. ...

Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and services it renders. These testimonial ...

As a financial planner with 40 years in the business, Ray Lucia believed he was on track for his own comfortable retirement as he hit ...

These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called Aberon Capital Master ...

Mergers are common among investment advisers and the SEC’s Division of Investment Management has just made clear that an adviser that combines with a second ...

You argue that, so long as appropriate disclosure is provided, it would not be misleading for the Minis Division to continue to use the Minis ...

While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...

The judgment permanently enjoins Present from future violations of Sections 206(1), 206(2), 206(4) and 207 of the Advisers Act and Rule 206(4)-8, and from aiding ...