Advertising/Marketing

It isn’t often that a government attorney appears before the Supreme Court to argue against a federal law. But that’s what happened April 23 as ...

Only days before the U.S. Supreme Court hears oral arguments in a case brought by an adviser charged with misleading advertisements, another RIA settled its ...

Arlington, a registered investment adviser, issued misleading advertisements about its investment performance in written communications to clients and prospective clients and in weekly radio broadcasts ...

The crackdown on initial coin offerings continues.  Despite an SEC report last July warning the industry that digital securities can be, and often are, securities, ...

It’s not a good sign when an adviser’s employee discovers he’s the firm’s CCO by reading its Form ADV.   But that’s how Richard Tomney ...

The Commission’s case against Present resulted in a trial before a jury beginning in September 2017. In October 2017, after hearing fifteen days of evidence, ...

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 ...

His conduct included taking extensive measures to hide Zoernack’s identity as fund manager—while simultaneously advertising that the funds boasted a seasoned and reputable manager—and otherwise ...

The whole culture changed at Phoenix’s Alpha Fiduciary ($401M in AUM) after the RIA settled an advertising enforcement action that held the firm “failed to ...

An advertising case that led to an adviser being barred is now headed to the U.S. Supreme Court.   On Jan. 12th, the High Court ...