Shortly after the Super Bowl last February, two partners in Houston’s Baker Botts and principals with their client, a Dallas-based investment advisory firm, reported to the Securities and Exchange Commission concerns about likely problems with investments in a ticket-selling business that an adviser had initiated for a number of clients, including major league sports stars.
This week, prompted by that reporting, the SEC announced it had filed a complaint against Ash Narayan, an adviser who previously worked from a Newport Coast, California, office of RGT Capital Management, the Dallas-based firm and others.
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