RCW Staff
The SEC's complaint alleged that Vaccarelli defrauded at least nine investors, several of whom were elderly, of over $1,000,000. Instead of investing the customers' funds ...
The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not supported by ...
The Commission’s complaint alleges that Altahawi, in unregistered transactions, sold shares of Longfin Corp., shares of which were traded on the Nasdaq Stock Market (“Nasdaq”), ...
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client assets ...
No-action relief was granted to an entity from the statutory disqualification condition of CFTC Staff Letter No. 12-70 with repsect to its affiliate support activities.
Respondent offered and sold millions of dollars of certain UBS-PR affiliated, non-exchange traded closed-end mutual funds (“CEFs”) to certain customers while soliciting them to ...
The Commission’s complaint alleged that Respondent engaged in various schemes to defraud her clients from 2013 through 2018. These schemes included: (1) forging withdrawal requests ...
No-action relief granted to swap dealers from the uncleared swap margin requirements under Part 23 of the Commission's regulations with respect to certain amendments to ...
The Commission is also considering a rule proposal to address the registration and regulation of non-U.S. swap dealers and major swap participants, as well as ...