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The marketing naughty and nice list

Catchwords and strategies likely to draw regulators' ire -- and others that pass anyone's test

Thursday, December 23, 2010 – 2:51 PM by Les Abromovitz, Columnist
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Les Abromovitz: Recently, one RIA firm that I work with claimed to have created hundreds of unique solutions. Those kinds of claims invite a securities examiner to ask for proof that the firm’s solutions are truly out of the ordinary.

Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

Aurora Compliance Solutions
RIA Set-up Firm
Top Executive: Edward Romanowsky




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