{"id":6124,"date":"2017-03-13T20:03:43","date_gmt":"2017-03-14T01:03:43","guid":{"rendered":"https:\/\/www.institutionalinvestorsecuritiesblog.com\/?p=1483"},"modified":"2022-05-19T09:31:30","modified_gmt":"2022-05-19T14:31:30","slug":"sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/","title":{"rendered":"SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies"},"content":{"rendered":"<p>The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. The registered investment advisor, in a Form ADV brochure filing, disclosed that the regulator\u2019s enforcement staff had preliminarily determined to recommend that the SEC file a case.<\/p>\n<p>The Commission has been investigating advisory firms that marketed F-Squared Investments-related exchange-traded fund investment strategies. F-Squared Investments admitted that some of its marketing strategy performance records were inflated.<\/p>\n<p>Last year, at least 13 brokerage firms and RIAs settled with the SEC for including the Boston-based firm\u2019s claims in their own marketing collateral, including that the AlphaSector ETF strategy had been out-performing the S &amp; P 500 for a number of years. F-Squared promoted the strategy as utilizing an algorithm that could indicate when it was time to sell.<\/p>\n<p> <a href=\"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/#more-6124\" class=\"more-link\">Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. The registered investment advisor, in a Form ADV brochure filing, disclosed that the regulator\u2019s enforcement staff had preliminarily determined to recommend that the SEC file a case. The Commission has been investigating advisory firms that marketed F-Squared Investments-related exchange-traded fund [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4023,3781,3760,3761],"tags":[2775,2776],"class_list":["post-6124","post","type-post","status-publish","format-standard","hentry","category-exchange-traded-funds","category-investment-advisers","category-sec-enforcement","category-securities-and-exchange-commis","tag-alphasector-etf-strategy","tag-navellier-associates"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies &#8212; Investor Lawyers Blog &#8212; March 13, 2017<\/title>\n<meta name=\"description\" content=\"The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. The registered investment advisor, in a Form ADV &#8212; March 13, 2017\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies &#8212; Investor Lawyers Blog &#8212; March 13, 2017\" \/>\n<meta name=\"twitter:description\" content=\"The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. The registered investment advisor, in a Form ADV &#8212; March 13, 2017\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies &#8212; Investor Lawyers Blog &#8212; March 13, 2017","description":"The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. The registered investment advisor, in a Form ADV &#8212; March 13, 2017","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/","twitter_card":"summary_large_image","twitter_title":"SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies &#8212; Investor Lawyers Blog &#8212; March 13, 2017","twitter_description":"The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. The registered investment advisor, in a Form ADV &#8212; March 13, 2017","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies","datePublished":"2017-03-14T01:03:43+00:00","dateModified":"2022-05-19T14:31:30+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/"},"wordCount":374,"keywords":["AlphaSector ETF strategy","Navellier &amp; Associates"],"articleSection":["Exchange Traded Funds","Investment Advisers","SEC Enforcement","Securities and Exchange Commission"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/","url":"https:\/\/www.investorlawyers.com\/blog\/sec-may-file-fraud-charges-navellier-f-squared-investments-related-etf-strategies\/","name":"SEC May File Fraud Charges Against Navellier Over F-Squared Investments-Related ETF Strategies &#8212; Investor Lawyers Blog &#8212; March 13, 2017","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"datePublished":"2017-03-14T01:03:43+00:00","dateModified":"2022-05-19T14:31:30+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"The US Securities and Exchange Commission is expected to charge Navellier &amp; Associates with fraud. 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