Investment adviser

MarketWatch  Jun 29  Comment 
An investment adviser was charged by the Securities and Exchange Commission with "cherry-picking" which options trades he allocated to clients. According to the SEC, Mark P. Welhouse of Welhouse & Associates delayed allocation of purchases to...
Clusterstock  Jun 3  Comment 
The professional basketball players of the NBA have twenty-four seconds to drive the ball up the court and take a shot. If they fail, the ball goes over to the other team. So the closer the shot clock gets to expiring, the more desperate the...
Mondo Visione  May 20  Comment 
Thank you, Chair White. And thank you to the staff from the Division of Investment Management (“IM”) who worked so diligently on today’s proposing releases, in particular Dave Grim, Diane Blizzard, Sara Cortes, Dan Chang, Matt DeLesDernier,...
MarketWatch  Apr 16  Comment 
A former J.P. Morgan Chase & Co. investment adviser in New York has been accused by federal authorities of stealing at least $20 million from clients and using the money for his own online trading and to pay his mortgage.
Reuters  Mar 11  Comment 
An investment adviser pleaded guilty to fraud in New York state court on Wednesday, admitting that he forged documents and sent emails in the name of Tyler Winklevoss and others associated with the founding of Facebook Inc, among other crimes.
MarketWatch  Mar 11  Comment 
Read the fine print in advertising to parse claimed performance, warns Mark Hulbert.
The Economic Times  Dec 2  Comment 
Sebi has asked Chouksey to immediately withdraw and remove all advertisements, representations etc in relation to their investment advisory.
MarketWatch  Aug 13  Comment 
We asked the two professionals for their money advice and found an alarming number of similarities.
Forbes  Jun 25  Comment 
The Securities and Exchange Commission (SEC) has on their website a page entitled, "Investment Advisers: What You Need to Know Before Choosing One" which begins: The Securities and Exchange Commission (SEC) receives many questions about...


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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]


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