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News

InvestmentNews
investmentnews.com > regulation-legal-compliance > texas-ria-and-founder-in-hot-water-over-crypto-backed-model-portfolio > 267479

Texas RIA and founder in hot water over crypto-backed model portfolio

1+ mon, 3+ week ago   (436+ words) An Austin, Texas registered investment advisor and its founder last month were charged with making misleading statements concerning the risks of one of its model portfolios, which was invested in crypto-backed investments and volatile exchange-traded funds. According to a cease…...

InvestmentNews
investmentnews.com > regulation-legal-compliance > texas-man-says-sec-and-fund-could-make-him-pay-twice > 267269

Texas man says SEC and fund could make him pay twice

2+ mon, 1+ week ago   (398+ words) Filed July 1, a Texas man says the SEC and a private company are chasing the same frozen assets - and he could pay twice. A Texas man and his company went to federal court in Houston on July 1 with a rare…...