Tag: investment adviser

Professional athletes and high net worth individuals who seek concierge type advisory services can become the victims of the advisers they trust to manage their affairs. One such case was SFX Financial Advisory Management Enterprises, Inc., Adm. Proc. File No. …

SEC Charges Provider of “Premier” Advisory Services with Fraud Read More »

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The SEC and the Manhattan U.S. Attorney’s Office brought actions against a hedge fund adviser who lost most of the money raised from investors through risky trading while trying to conceal that fact from them, the brokers and others – …

IA Settles With SEC, USAO After Letter to Investors Admitting Losses Read More »

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