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Although 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…
Read MoreWhile the FINRA Exam Priorities letter will not be nominated for the Man Booker award or a Pulitzer, it should at least get credit for consistency. There are the recurring themes one would expect to find in any string of…
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