Tag: investment adviser

Broker-dealers and investment advisers are subject to a number of restrictions regarding marketing and advertising their services. In contrast, those who are not registered but acting as, for example, an unregistered investment adviser, are not subject to the same restrictions. …

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One of the issues frequently seen in matters where insiders manipulate the numbers to increase revenue or decrease costs, is the impossibility of stopping once the process begins until they are caught. Frequently, the insiders involved convince themselves that once …

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