Category: investment advisers

Enforcement News: SEC Brings Enforcement Action Against Investment Adviser and Firm for Not Disclosing Increased Fees

Feb 26 2025

By: Jeffrey M. Haber An investment adviser is a fiduciary, and as such is held to the highest standard of conduct and must act in the best interest of his/her …

May 1 2024

By: Jeffrey M. Haber On December 22, 2020, the Securities and Exchange Commission (the “SEC” or the “Commission”) adopted significant amendments to Rule 206(4)-1 promulgated under the Investment Advisers Act …

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Category: investment advisers

Enforcement News: SEC Brings Enforcement Action Against Investment Adviser and Firm for Not Disclosing Increased Fees

Enforcement News: SEC Enforces Violations of Amended Marketing Rule Against Five Investment Advisors