Action against Respondent, a registered investment adviser, for alleged material misstatements and omissions with respect to the performance of its index in back-testing. According to the SEC, Respondent greatly overstated the index’s performance. Respondent has agreed to pay a civil penalty of $175,000.
Home > Financial Institutions and Regulated Entities > In re Sterling Global Strategies LLC (A.P. Dec. 20, 2018, Settled)
