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    Articles

    Business Ethics

    Rogue Advisors on Parade: Sunshine Ponzier, Off-Radar Low Flier, and Scummy Senior Scammer

    By: Harry J. Lew, NEA Chief Content Officer on August 24th, 2017 • Comments: 0

    A Central Florida investment advisor perpetrated a Ponzi scheme that cost consumers $3.6 million. According to the Orange County Sheriff’s Office, Justin Troy Spearman, 29, convinced mutliple Florida residents to invest in a fraudulent Texas oil and gas scheme.

    (Read More)


    Sales & Marketing

    Advisor Alert: RIAs Catch Break on SEC's Form ADV Requirements

    By: Harry J. Lew, NEA Chief Content Officer on August 24th, 2017 • Comments: 0

    If you’re a registered investment advisor worried about providing the new required Form ADV data, relax. You just caught a break from the Securities and Exchange Commission.

    (Read More)


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