Category: MARKETING RULE VIOLATIONS

Marketing Rule Violations typically involve practices where financial professionals, such as investment advisers or brokers, make false or misleading statements, omit key information that would impact a reasonable investor’s decision, or engage in deceptive practices to attract clients or customers. These violations can range from misrepresenting investment performance, failing to disclose conflicts of interest, exaggerating qualifications, using testimonials without appropriate disclosures, or employing other misleading tactics in advertising or promotional materials. Such breaches undermine investor trust and violate regulations designed to ensure fair and transparent dealings in financial markets, potentially leading to enforcement actions, fines, and restrictions on future activities by the SEC.