Social Media

Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitted to publish without required disclosure. ...

OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to their compliance programs that would ...

Here's a recap of the SEC's risk alert on e-communications

Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly released 2018 Electronic ...

The Advisers Act’s advertising rule may bear a few gray hairs as it nears 60 years old, but its age isn’t stopping many firms from ...

If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz, ...

Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers Act when ...

HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing testimonials concerning HBA, ...

Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Testimonials” section displaying statements by ...

Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both based in Richboro, Pennsylvania. ...