Justin Mann

Justin Mann

WilmerHale

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Ongoing SEC Marketing Rule Enforcement Sweep Results in Charges Against Investment Advisers

On September 11, 2023, the Securities and Exchange Commission (SEC) charged and settled proceedings with nine registered investment advisers for misrepresenting hypothetical performance of advisory products in connection with...more

10/3/2023  /  Compliance , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Securities and Exchange Commission (SEC)
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