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On 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…
Read MoreThis time of year, it is common practice for broker-dealers (“BDs”) to take a close look at their financials as they gear up for another annual audit and also review any expense-sharing agreements (“ESA”) they have in place. We are…
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