The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
Fundraising by private equity firms reached $537.2 billion last year, the highest amount raised since the financial crisis, according to Private Equity International’s Annual Fundraising Report 2019. ...
GPB raised the sum over five years and at its peak, more than five dozen broker-dealers signed on to sell the adviser’s funds. The B-Ds ...
New York Attorney General Letitia James has filed suit against an investment adviser/broker-dealer who she says forged documents, violated the terms of a PPM and ...
The SEC has revoked a New York investment adviser’s registration after accusing the firm of selling $60 million in fake loan assets to hide losses ...
The SEC has rewrapped its case against one of two principal witnesses in the record-setting SAC Capital prosecution, months after a federal judge set aside ...
What cyber challenges currently exist in the industry? Adam Fletcher, Blackstone Right now I’m thinking a lot about third party risk, with “cloud” being a ...
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
A former NFL linebacker is facing 330 years in prison after a federal jury convicted him of a long-running, $10 million fraud. Merrill Robertson, Jr., ...