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Strategies & Market Trends : Bob Brinker: Market Savant & Radio Host
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To: wooden ships who started this subject9/19/2001 2:05:46 PM
From: geode00  Read Replies (1) of 42834
 
From the Suite101 discussion board, anyone else know if these rules apply in this situation? QQQ's hitting 29 today wow.

"The SEC should really look into how Brinker is advertising his investment performance. I believe he's skirting SEC compliance regulations and should be reported.
The following is among prohibited practices found by the SEC during audits:

-- Creating distorted performance results by constructing composites that include only selected profitable accounts or only profitable time periods.

-- Advertising performance that is not timely (e.g., performance only through 12/00)

The SEC has also stated that it deems certain conduct to be per se fraudulent, e.g., if an adviser fails to disclose prominently that any actual results reflect the performance of only certain client accounts and the basis for selecting such accounts, or if the adviser "cherry picks" only those accounts with favorable results."

suite101.com
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