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This matter arises from misstatements made by registered investment adviser RPg to advisory clients of other advisors, including RPg’s affiliate RPG Family Wealth Advisory, LLC ...
EMM knew or should have known that it did not have a reasonable basis to believe that AlphaSector’s advertising claims were accurate. EMM knew or ...
Hilliard Lyons was required to make and keep true, accurate and current records or documents necessary to form the basis for or demonstrate the calculation ...
Although Ladenburg Thalmann’s advertisements, at times, described the performance of the AlphaSector Hybrid, AlphaSector Hedge, and AlphaSector Blend strategies as hypothetical and/or back-tested, the advertisements ...
HT Partners, in advertising its own advisory services, disseminated AlphaSector performance advertisements for its own strategies that substantially overstated the performance of the back-tested track ...
Banyan, in advertising its own advisory services, disseminated AlphaSector performance advertisements for its own separately managed account strategies that failed to disclose the AlphaSector track ...
Prospera began considering whether it would enter into a model manager agreement with F-Squared whereby Prospera would establish an investment product based on F-Squared’s AlphaSector ...
Schneider Downs knew or should have known that it did not have a reasonable basis to believe that AlphaSector’s advertising claims were accurate. Schneider Downs ...
Shamrock, in advertising its own advisory services, disseminated AlphaSector performance advertisements for its own separately managed account strategies that failed to disclose the AlphaSector track ...
After the SEC barred Ray Lucia from the industry for life for misleading slideshows as part of his Buckets of Money® strategy (IA Watch, Sept. ...
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