Tag: advertising

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 »

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The SEC filed a settled action involving a registered investment adviser that made false statements in marketing materials about a strategy utilized by a sub-adviser. The adviser failed to evaluate statements in the materials and ignored red flags. In the …

Adviser Settles False Performance Claims With SEC Read More »

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