News & Analysis as of

False Advertising › Material Misstatements

Broker-Dealer Compliance + Regulation

SEC Sanctions Investment Adviser For Materially False Advertisements

Broker-Dealer Compliance + Regulation on

The SEC recently instituted proceedings against a registered investment adviser and its founder, CEO and majority shareholder for allegedly making material misstatements and omissions regarding the amount of assets...more

1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide