by Ara Jabrayan | Mar 11, 2025 | Compliance Violations, Conflicts of Interest, Duty of Care, Fiduciary Duty, Investment Adviser Representative, policies and procedures, Registered Investment Advisers (RIAs), SEC Investment Adviser Compliance, Standards of Conduct, Suitability, Violations
On February 14, 2025, the SEC settled charges against a New York-based Registered Investment Adviser (RIA) and a former Investment Adviser Representative (IAR) of that firm. The RIA and IAR allegedly breached the fiduciary duty they owed to their clients. The RIA and...
by Ara Jabrayan | Mar 6, 2025 | Chief Compliance Officer, RIA Compliance, Rule 503, SEC Investment Adviser Compliance, SEC Rules, Violations
On December 20, 2024, the SEC settled charges involving two private companies, as well as one Registered Investment Adviser (RIA), that failed to file their required Forms D in a timely manner. The RIA and the other companies were accused of violating Rule 503 of...
by Ara Jabrayan | Feb 13, 2025 | Advertising, Chief Compliance Officer, Compliance Violations, Conflicts of Interest, Deceit, Deficiencies, Disclosure, Division of Enforcement, Endorsement, Hypothetical Performance, Investment Adviser Representative, Marketing Rule, policies and procedures, Promoter, Social Media, Violations, Website
On November 1, 2024, the SEC settled charges against a Registered Investment Adviser (RIA) in New York City. The RIA distributed advertisements using its public website, social media and email that contained endorsements from several professional athletes. Those...
Recent Comments