Investment advisor

Reuters  Oct 9  Comment 
An investment advisor to CEOs was arraigned on Wednesday and charged with scheming to defraud, in part by falsely claiming business relationships with Tyler Winklevoss and others associated with the founding of Facebook, prosecutors said.
Forbes  Sep 16  Comment 
Just like searching for anything in the world, success is determined largely by where you look. So how do most people go about finding a financial advisor who is exceptionally talented, ethically sound, and will give you and your account as much...
DailyFinance  Sep 9  Comment 
VANCOUVER, BRITISH COLUMBIA -- (Marketwired) -- 09/09/14 -- A British Columbia Securities Commission panel has fined and issued orders against a former investment advisor who engaged in an illegal distribution.In June 2014, the panel found that...
The Economic Times  Aug 27  Comment 
IIFL believes going forward, the advisory services platform poses promising opportunities for servicing large clients in the new regulatory framework.
Forbes  Jul 7  Comment 
Tocqueville Asset Management LP (TAM)got a nasty surprises when it took some steps to streamline an overly complicated ownership compensation scheme.  For 2005 over $10,000,000 in compensation deductions were disallowed for purposes of the New...
DailyFinance  Jun 17  Comment 
VANCOUVER, BRITISH COLUMBIA -- (Marketwired) -- 06/17/14 -- A British Columbia Securities Commission panel has found that a former investment advisor engaged in an illegal distribution.The panel found that in April 2011, Robert Waters, a B.C....
Reuters  Mar 31  Comment 
An investment advisor featured in "The Big Short," a best-selling book about the financial crisis, faced an administrative trial Monday on claims he misled investors in a complex investment product linked to mortgages.
The Economic Times  Mar 12  Comment 
"There definitely can be a correction of 50-100 points on the Nifty, but for people like me that becomes an opportunity."


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Investment advisors

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. [3]

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. The spellings investment advisor and Investment adviser are both correct. [4]

From advice c.1300 from avis "opinion, it seems to me, in my view. [1]


  1. [1]1610s, agent from advise. [2]
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