Tag: advertising

Respondent Kirkland is an investment adviser who founded Universal Financial Independence, Inc., a firm created to sell books and subscriptions. She was joined in marketing the trading system by Respondents Duane Davis, the founder of Investment Software Systems, Inc. and …

Advisor Sanctioned Based on False Advertising, Testimonial Claims Read More »

Tagged with: , , ,

Cybersecurity was front and center this week, with SEC Chairman Jay Clayton being grilled by a Senate Committee about the breach at the agency. The Chairman testified that the breach occurred last year and that investigations are underway. Mr. Clayton …

This Week In Securities Litigation (Week ending September 29, 2017) Read More »

Tagged with: , , , , ,