Posts in Advisers Act.

The proper valuation of client assets is of critical importance for investment advisers. A failure on the part of firms to properly value assets adversely affects key areas of fund operations, including but not limited to: Over or under...

Indianapolis-based Steele Financial Inc. and the advisory firm's owner, Tamara Steele, have both been charged by the Securities and Exchange Commission (SEC) with failure to disclose sales commissions of up to 18% charged on approximately $13 million of high-risk...

In looking at the recent enforcement action by the Securities and Exchange Commission ("SEC") against Create Your Fate, LLC, let's first consider these two recent publications by governing bodies concerning the use of testimonials contained in internet or social...

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