Social Media

Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and services it renders. These testimonial ...

In a first, the SEC has secured the appointment of a receiver in connection with an alleged fraudulent initial coin offering targeting retail investors. On ...

The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars” and ...

A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.

The return on investment for social media appears to be on the rise—at least for financial professionals. American Century Investments’ seventh annual Financial Professionals Social ...

If your firm or its associated persons intends to communicate regarding firm business through a text messaging app or chat service, first ensure that you ...

A “listening tour” commenced last August by then new FINRA president/CEO Robert Cook will bear fruit this year. Based on feedback that broker-dealers would like ...

The vast majority of investment advisers don’t seem sold on the promise of social media but a few report they’re seeing payoffs from their posts. ...

Over the past few years, we have noticed what seems to be an increase in the number of complaints regarding such frauds. One common characteristic ...

Srivastava, a software engineer turned Internet marketer, directed the scheme. At Srivastava’s request, his friend Kavuri took the lead in designing and marketing the Profits Paradise ...