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Not to be confused with the blues song, “Long Tall Sally,” the SEC’s new research tool, SALI, can help investors avoid singing the blues after dealing with an unsavory financial professional. The SEC Action Lookup for Individuals (“SALI”), which was…
Read MoreAlthough basketball is a team sport, one-on-one games are great exercise. Typically, players call their own fouls. When it comes to one-on-one presentations, however, examiners may call a foul on investment advisers who mislead clients and prospects. In its September…
Read MoreOn March 22, 2018, a final judgment was entered against an investment adviser who was the former CEO of F-Squared Investments. There have been numerous enforcement actions related to F-Squared’s false and misleading performance claims, which were disseminated by other…
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