The SEC announced the formal charges and the settlement on Friday after a long-running regulatory investigation that Kraft disclosed in 2019. The company will pay $62 million as part of the settlement. The agency alleges that from the last quarter of 2015 to the end of 2018, Kraft “engaged in […]
SEC
What Financial Advisors Should Know About SEC Rules Allowing Testimonials
Prospective clients often search for testimonials and reviews of financial advisors on Facebook, Yelp or other social media sites. Often, their searches come up short. © (Getty Images) Female financial executive talking on smart phone. That’s because advisors, unlike other service providers such as attorneys and insurance agents, have been […]