Advertising/Marketing

Acing a test. Winning a game. Picking a great stock.   Who’s beyond a little boasting when one succeeds?   As tempting as this can ...

The menu of capital-raising choices available today to small businesses presents more flexibility and more alternatives than ever before. As the effective dates for ...

Chalk one up for the industry. A Wisconsin-based independent has been vindicated in a multi-year battle with FINRA enforcement over some offices’ outside business activities. ...

Reactions to the SEC’s final rule revising Form ADV and the books and records rule include gratitude that the agency listened to some industry comments, ...

Thirteen advisory firms found via an SEC enforcement sweep to have negligently spread false performance claims originally made by F-Squared Investments (IA Watch, Dec. 23, ...

The SEC has adopted amendments to Form ADV and the Advisers Act books and records rule in a bid to provide investors and the Commission ...

This matter arises from misstatements made by registered investment adviser AssetMark to certain of its advisory clients, including clients with separately managed accounts invested in ...

Congress Wealth violated Section 206(4) of the Advisers Act and Rule 206(4)-1(a)(5) thereunder by publishing, circulating, and distributing advertisements that contained untrue statements of material ...

BB&T Securities advertised the strategy by negligently relying on F-Squared’s materially inflated, and hypothetical and back-tested, performance track record that F-Squared misrepresented.

Constellation took insufficient steps to confirm the accuracy of F-Squared’s historical data and other information contained in the materials. In addition, Constellation did not obtain ...