Advertising/Marketing

Mr. Navellier and his firm defrauded their clients and prospective clients, misleading them about the performance track record of the "Vireo AlphaSector" investment strategies that ...

Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...

An attorney for Ray Lucia, the investment adviser who has spent the last four years challenging an SEC ALJ finding that he engaged in misleading ...

Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...

Your peers have cheered a proposal from FINRA to provide a new exception to the prohibition on projecting performance – and are urging regulators to ...

Final legal arguments were filed April 24 as an investment adviser accused of marketing fraud contests the SEC’s actions on the grounds that the agency’s ...

Take in one more sign that there’s a new sheriff in town. A new decision by an SEC ALJ bars an adviser who has spent ...

This week, the CFA Institute’s executive body will weigh a proposal to change the GIPS’ rules to accept a mutual fund’s existing regulatory disclosures as ...

New life has been breathed into Ray Lucia’s fight against SEC charges that the adviser’s Buckets of Money® strategy doled out false and misleading advertising. ...

Between at least 2011 and October 2014, JSA disseminated marketing materials containing representations that JSA had “never, not once, taken even so much as a ...