Tag: Testimonials

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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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 …

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

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