Tag: investment adviser

The Commission’s focus on retail investors turned to an unregistered investment adviser who marketed shares in two unregistered investment funds. While the marketing was done by using misrepresentations coupled with omissions as in many cases, in this instance the marketers …

SEC Sanctions Adviser Who Secured False Morningstar Star Rating Read More »

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The Commission filed another action centered on retail investors. In this case two employees of a well known Financial Institution took advantage of firm clients over a period of three years, defrauding them of thousands of dollars. SEC v. Polese, …

SEC Charges Two Advisers With Fraud Tied to Retail Investors Read More »

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