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 >>
Staying Out of Trouble with Social Media
Prospera Financial Services, a broker/dealer in Dallas, Texas, is using a hosted service for social media surveillance in order to stay ahead of a fast-changing market. Social media, the firm argues, deepens relationships with current clients as it appeals to younger, more tech-savvy potential customers. Yet the decision to embrace social media is not as… Read More >>
