Burge Moderates PIABA Webinar on Understanding the Investment Adviser Disclosure Requirement
August 26, 2022
Fishman Haygood attorney Jason Burge moderated the Public Investors Advocate Bar Association (PIABA) webinar, “What’s in a PBJ?: Understanding Investment Adviser Disclosure Requirements,” this week. Presented by the PIABA Bar Journal, speaker Courtney Werning discussed what SEC-registered and state-registered investment advisers are required to disclose on both the firm and the representative levels.
To help identify financial professionals with a history of misconduct, the SEC encourages investors to check an adviser’s background. Burge, a partner in the firm’s Litigation Section, asked Werning about the lax disclosure requirements for SEC-registered investment advisers, and the trend where of the top fee-only investment advisers do not disclose many disciplinary events, a detriment to both the investing public and regulators.
Burge is the incoming editor in chief of the PIABA Bar Journal.
Fishman Haygood represents individuals, companies, pension funds, hospitals, cities, and states in securities litigation and arbitration. The firm’s securities section regularly obtains successful results on behalf of investors suing large financial institutions who have mishandled their investments. Click here to learn more about the firm’s securities section and the types of cases we’ve represented.