In marketing materials and other related documents provided to clients, DBTCA disclosed that it relies on an independent, in-house research group (“Research Group”) that uses ...
Lyons and various investment adviser entities with the name Synchrony that Lyons controlled engaged in a scheme to misappropriate assets from hedge funds Lyons and ...
in a newsletter emailed to Fund investors on September 8, 2016, Bruce inaccurately stated that he had “spent a great deal of time doing my ...
Respondents defrauded certain SJL advisory clients and at least one investor in SJL’s MarketDNA Hedge Fund LP (“Fund”) by misleading them regarding the nature and ...
The SEC alleges that Naqvi and his firm raised money for the Abraaj Growth Markets Health Fund ("Health Fund"), collecting more than $100 million over ...
Gibb also falsely reported fictitious amounts of assets under management in Forms ADV filed with the Commission, and falsely claimed Income Flood had been audited ...
Direct Lending advises a combination of private funds that invest in various lending platforms, including QuarterSpot, Inc., an online small business lender. The SEC alleges ...
the settling defendants consented to the entry of final judgments permanently enjoining them from future violations of various provisions of the federal securities laws, and ...