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Meridian Financial must pay $75,000 over Marketing Rule violations

Image of a man looking into a computer screen at investment data.
Photo: Michael M. Santiago/Getty Images

Julie DiMauro

1 min read
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The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.

What happens when the information in a registered adviser’s website advertisement conflicts with the adviser’s own SEC filings?

The answer comes from a case in which the SEC has fined Massachusetts-based Meridian Financial $75,000 and ordered the firm to conduct an annual review in 30 days for violations related to

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