Defendant Name: Ladenburg Thalmann Asset Management Inc.

Defendant Type: Subsidiary of Public Company

Document Reference: 2016-167_Ladenburg

Document Details

Legal Case Name In the Matter of Ladenburg Thalmann Asset Management Inc.
Document Name Investment Advisers Paying Penalties for Advertising False Performance Claims
Document Date 25-Aug-2016
Document Format Administrative Proceeding
File Number 3-17497
Allegation Type Investment Advisers/Investment Companies
Document Summary On August 25, 2016, the SEC announced “penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management firm about its flagship product.”

Related Documents:

IA-4501 25-Aug-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order
On August 25, 2016, the SEC instituted a settled administrative proceeding against Ladenburg Thalmann Asset Management Inc. According to the SEC the matter arises from misstatements made by the company “to certain of its advisory clients, including clients with separately managed accounts invested in F-Squared Investments, Inc.’s (‘F-Squared’) strategy.”

Related Actions:

SEC v. Howard B. Present
Howard B. Present
In the Matter of F-Squared Investments, Inc.
F-Squared Investments, Inc.