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Examinations Enforcement: Settlement

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The firm claimed it was 'a true fiduciary that puts the client first by aligning incentives and eliminating conflicts of interest' without providing any context ...
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The firm's web ad claimed it was recognized by Reuters AdvisePoint as one of 500 'Top Advisers' in the U.S. without disclosing that the award ...
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The adviser's ad claimed a principal 'had been named one of the top wealth managers by the readers of San Diego Magazine for 14 consecutive ...
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The firms placed an ad on its website containing two third-party ratings that did not clearly and prominently disclose the date on which the rating ...
Conflict Of Interest
The firm disseminated an ad claiming it 'serve[s] individuals and institutions independently, with no conflict of interest' without providing any context and after the firm ...
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The adviser purported to rely on the audited financials alternative to comply with the custody rule but failed to timely deliver the audited financial statements ...
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If you hire an auditor to examine your private funds, make sure the person does the job. If not, the SEC likely won’t come down ...
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Whistleblower rule violations because the confidentiality agreements impeded clients from reporting potential securities law violations to the Commission
A blindfolded businessman and a businesswoman attempt to navigate a dangerous set of stairs in an office building. Their hands are held out as they are unsure as to what the next step may lead to.
International Assets Advisers failed to provide full and fair disclosures regarding compensation and financial incentives that its affiliated B-D received from a clearing broker
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From at least 2019, ClearPath used improper hedge clauses in advisory agreements. These agreements were still active as of mid-2024 and controlled ClearPath’s relationships with ...
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