Thomas Kellerman

Stark & Stark

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[Webinar] Adviser Armor: Detecting and Preventing Financial Exploitation and Mastering Powers of Attorney - April 30th, 12:00 pm -...

Investment Advisers: Elevate your expertise! Join our exclusive April webinars and earn 1 CFP or IAR CE credit per course....more

4/16/2025 / Compliance , Continuing Legal Education , Exploitation , Investment Adviser , Investment Management , Investors , Litigation Strategies , Power of Attorney , Registered Investment Advisors , Webinars

[Webinar] Examination Evolution: A Fresh Look at SEC Exam Trends and Insights - April 23rd, 12:00 pm - 1:00 pm ET

Investment Advisers: Elevate your expertise! Join our exclusive April webinars and earn 1 CFP or IAR CE credit per course....more

4/15/2025 / Compliance , Continuing Legal Education , Investment Adviser , Investment Management , Investors , Litigation Strategies , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Webinars

SEC Settles Charges Against Investment Advisers for Misleading AI Claims

On March 18, 2024, the Securities and Exchange Commission announced settled charges against two SEC registered investment advisers for making false and misleading statements about their purported use of artificial...more

3/22/2024 / Artificial Intelligence , Financial Services Industry , Investment Adviser , Investment Management , Investor Protection , Machine Learning , Securities and Exchange Commission (SEC)

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