Testimonials – SEC ACTIONS

Advisor Sanctioned Based on False Advertising, Testimonial Claims

Posted on May 05, 2020 by T. Gorman Posted in SECActions

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 …

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Tagged with: advertising, investment advisers, SEC, Testimonials

This Week In Securities Litigation (Week ending July 13, 2018)

Posted on July 12, 2018 by T. Gorman Posted in SECActions

The President issued an Executive Order this week, exempting SEC ALJs from the competitive civil service. The order, based in part on the ruling in Lucia which held that SEC ALJs must be appointed in accord with the Constitution’s Appointments …

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Tagged with: DOJ, Insider trading, pay-to-play, SEC, Testimonials

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Advisor Sanctioned Based on False Advertising, Testimonial Claims

This Week In Securities Litigation (Week ending July 13, 2018)