News, Vision & Voice for the Advisory Community


SEC may tackle RIAs claiming to have 'skin in the game'

Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund

Author Guest Columnist Les Abromovitz December 28, 2012 at 2:30 AM
no description available
Les Abromovitz: It will be of little consolation to clients to know that their advisors' nest eggs went down the drain along with their own.

RIA Compliance

Mike Byrnes

Mike Byrnes

December 28, 2012 — 11:41 PM

Les, thanks for the heads up! — Mike Byrnes, President of Byrnes Consulting, LLC, www.byrnesconsulting.com

PS tweeted it out at @byrnesconsultin.

Maria Marsala

Maria Marsala

December 30, 2012 — 1:00 PM

Honesty is still a virtue to be dealt with :)

As we know, you can differentiate you firm … and be honest, too.

Related Moves

November 18, 2022 at 2:56 AM

Mentioned in this article:

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

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings

Common Tags

Recent Articles

Popular Writers

RIABiz logo


About Us




RIABiz, Mill Valley, California
Copyright © 2009-2024 RIABiz Inc. All rights reserved.