Tag: advertising

The SEC filed a settled action involving a registered investment adviser that made false statements in marketing materials about a strategy utilized by a sub-adviser. The adviser failed to evaluate statements in the materials and ignored red flags. In the …

Adviser Settles False Performance Claims With SEC Read More »

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In a week when the financial markets were shut for two days by hurricane Sandy, the Commission filed actions focused on insider trading, financial fraud, false advertising, and, in addition, a stop order proceeding. One insider trading case stems from …

This Week In Securities Litigation (Week ending November 2, 2012) Read More »

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