Main Menu

Our Work

SEC v. Ambassador Advisors et al.

The Securities and Exchange Commission (SEC) retained Marti P. Murray in an investment adviser matter. The SEC accused investment advisory firm Ambassador Advisors and its principals of breaching fiduciary duties in connection with mutual fund share class selection practices and of failing to adopt and implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940. Ms. Murray testified before the US District Court for the Eastern District of Pennsylvania as an expert in investment industry practices and customs. The jury ruled in favor of the SEC and found the defendants guilty of investment advisory fraud. 

Jump to Page

We use cookies to optimize the performance of this site and give you the best user experience. By clicking "Accept," you agree to our use of cookies.

Necessary Cookies

Necessary cookies enable core functionality such as security, network management, and accessibility. You may disable these by changing your browser settings, but this may affect how the website functions.

Analytical Cookies

Analytical cookies help us improve our website by collecting and reporting information on its usage. We access and process information from these cookies at an aggregate level.