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Page also exchanged e-mail with quite a few opportunity buyers wherever he confirmed the accuracy of your effectiveness figures inside the advertising and marketing elements.
From Oct 2017 right up until Oct 2018, the AWC Letter carries on, Mr. Page dispersed advertising and marketing materials that contained materially inaccurate information and facts “to a lot more than two dozen prospective investors.” On top of that, he allegedly “exchanged email messages with many prospective traders where he affirmed the precision in the Grasp Fund’s performance benefits as established forth in the Feeder Fund’s advertising elements.” FINRA states that buyers within the Feeder Fund manufactured “7 different investments… totaling around $1.
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Page verified the variety’s precision Even with obtaining details that called the accuracy with the quantities into dilemma. Consequently, Page violated FINRA Rule 2010.
"His appointment is not only a testament to his exceptional career achievements but will also to our motivation to bringing leading-tier talent to our workforce."