Tag: investment advisers

It is axiomatic that a registered investment adviser has a duty to maintain certain records. Equally fundamental is the fact that when the Commission’s Office of Inspections and Examinations or OCIE calls, the advisory firm has an obligation to produce …

After Failing to Permit OCIE Exams, Commission Files Action Read More »

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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 »

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