Tag: investment advisers

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: , , ,

The Share Class Selection Disclosure Initiative, launched in 2018, has become one of the Enforcement Division’s most successful, recent cooperation initiatives. The Initiative focused on the conflict that arises from undisclosed fees paid when investment advisers recommend mutual funds shares …

SEC Enforcement Concludes Successful Cooperation Initiative Read More »

Tagged with: , , ,