Investment adviser

RECENT NEWS
MarketWatch  Mar 21  Comment 
So consumers should negotiate with their adviser, but few do, even though many advisers are willing.
Mondo Visione  Jan 25  Comment 
The Securities and Exchange Commission today announced that a Massachusetts-based investment adviser agreed to be banned from the securities industry after the agency uncovered an illegal cherry-picking scheme through its data analysis used to...
Mondo Visione  Jan 9  Comment 
The Securities and Exchange Commission today announced that a Connecticut-based investment adviser has agreed to admit wrongdoing and pay more than $575,000 to settle charges that he defrauded a client and then compounded his scheme by...
The Economic Times  Dec 23  Comment 
Sebi has given this view on an application filed by MarketMagnify Investment Adviser seeking informal guidance in the matter.
Mondo Visione  Oct 27  Comment 
The Securities and Exchange Commission today charged a Los-Angeles based investment advisory firm and its owner with fraudulently overbilling clients and stealing assets from their trusts to pay such personal expenses as his home mortgage,...
Mondo Visione  Oct 4  Comment 
The Securities and Exchange Commission today announced fraud charges against an investment adviser accused of “cherry-picking” profitable trades for his own account rather than a client’s accounts, and misleading seniors and other clients...
Mondo Visione  Aug 11  Comment 
The Securities and Exchange Commission today announced fraud charges against a San Francisco man and his investment advisory firm accused of pretending to manage millions of dollars in assets and then stealing money from the first client who...
MarketWatch  Jun 21  Comment 
Ash Narayan used Ponzi-like scheme to “invest” their money in The Ticket Reserve Inc.
The Hindu Business Line  Jun 12  Comment 
You can benefit from advice, but taking charge of your savings can be satisfying




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Investment advisers

A person who gives advice on Investments. Those who work for closed-end companies, are prohibited from disseminating advice known to be deceitful or fraudulent, and from acting as a principal on their own accounts by buying and selling securities between themselves and a client without prior written consent. [1]

Means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. [2] The spellings investment adviser and Investment advisor are both correct.

From advice c.1300 from avis "opinion, it seems to me, in my view. [3]1610s, agent from advise. [4]

References

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