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SEC Slams 13 Firms for Relaying False Performance Data

August 31, 2016 by Eugene Grygo

A baker’s dozen of investment advisory firms has been penalized by the SEC for allegedly “spreading the false claims” of an investment management firm, proving that it can be costly to pass along data The SEC enforcement sweep yielded 13 investment advisers that the regulator says “accepted and negligently relied upon claims by F-Squared Investments… Read More >>

Filed Under: AML/Fraud/Financial Crime, Regulation & Compliance, Social Media Tagged With: AssetMark, Banyan Partners, BB&T Securities, Congress Wealth Management, Constellation Wealth Advisors, ETFs, Executive Monetary Management, F-Squared Investments, false advertising, Hilliard Lyons, HT Partners, Ladenburg Thalmann Asset Management, Prospera Financial Services, Risk Paradigm Group, Schneider Downs Wealth Management Advisors, SEC, Shamrock Asset Management

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