Carl Ayers
Daniel Yih, the COO of Starwood Capital Group ($24B in AUM) in Greenwich, Conn., sought to help his longtime friend, Bruce Rauner, who was running ...
Violations of the Investment Company Act cost Water Island Capital ($3.4B in AUM) in New York $50,000 last week after it settled custody and compliance ...
The SEC has turned “a blind eye” to repeated violations by Oppenheimer & Co. ($8.6B in AUM) and departed from its “long-established” criteria when it ...
Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...
Yet another former ConvergEx subsidiary CEO has been charged by the SEC for participating in a scheme to conceal a practice of charging hidden mark-ups ...
This is from a never-been-examined OCIE exam in 2014.
This SEC document request letter comes from an exam out of the San Francisco Regional Office in 2014.
The proposed disclosure would be required in a proxy statement or information statement relating to an election of directors, whether by vote of security holders ...
This is an SEC-document request letter from the Denver Regional Office. The adviser was examined in 2014.