Skip to Primary Navigation

Skip to main content

Fintech IA is charged in first violation of SEC’s amended marketing rule

Picture of the front door of the SEC's Washington, DC offices.
Photo: Brendan Smialowski/Getty Images

Julie DiMauro

3 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

The SEC announced charges against the NY-based fintech investment adviser for using hypothetical performance metrics in advertisements that were misleading, plus misleading disclosures.

In charges that mark the first violation of the agency’s amended marketing rule, the SEC announced charges against Titan Global Capital Management USA LLC on Monday.

The New York-based fintech investment adviser was charged with using hypothetical performance metrics in advertisements that were misleading, plus compliance failures that led to

, , , , , ,