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Articles written by Les Abromovitz


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Les Abromovitz: On many occasions, advisors' websites contain inconsistent statements about partners' experience and how many years they have been in business.

Unlike politicians, advisors can't walk back false claims

It may be flip-flopping season on the campaign trail but RIAs must be careful to stick to one regulatory story

August 31, 2012 – 5:10 AM

Les Abromovitz: Including pictures of  your dog is usually a safe way to go unless your client or prospect is a cat person.

In this election season, cast your vote for president in private -- not in your firm's newsletter

Whether Romney or Obama is your man there's no upside in sharing that information with your clients -- but feel free to share about the bigger picture

August 10, 2012 – 3:48 PM

Les Abromovitz: You are destined to have problems if the PR firm believes that regulations need not get in the way of a great marketing campaign.

PR firms must recognize that RIAs answer to a higher authority

There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot

May 10, 2012 – 5:07 AM

Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

The SEC will often 'tell' advisors what compliance issues deserve attention

The agency has its own ways of communicating what gets on its regulatory nerves

April 9, 2012 – 5:58 AM

Les Abromovitz: Avoid statements that expressly state or imply that you and your firm are in a class by yourself.

Examiners may ask “Says who?” about your advertisements

RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"

June 21, 2011 – 2:23 PM

Les Abromovitz: Not surprisingly, advisors' hypothetical case studies have happy endings.

Advertising practices that can raise the hackles of regulators

Photos, staff plaudits and hypotheticals are still testimonials by any other name

November 19, 2009 – 4:05 PM

An outright ban on non-business use of social media may present its own legal problems.

10 top ways to use social media without courting regulatory trouble

Make social media part of your compliance plan

September 22, 2009 – 4:43 PM

Les Abromovitz: Twitter's 140-word limit leaves scant room for disclosures

Social media can turn regulatory exam into fiery wreck

Tweeting and Linking in are fair game for sharp-pencilled regulator

August 25, 2009 – 4:42 AM

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