Rule clarifies proprietary trading and ownership of hedge or private equity funds
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
SEC Announces Fraud Charges Related to Wisconsin Investment Fund Litigation Release No. 24632 / September 30, 2019 Securities and Exchange Commission v. Bluepoint Investment Counsel, ...
ECP included the approximately $3.41 million of invested capital contributions attributable to the warrants in the base amount used to calculate management fees that were ...
On February 15, 2018, Lattanzio was convicted of two counts of securities fraud, violating 15 U.S.C. §§ 78j(b) & 78ff; and two counts of wire ...
The Complaint alleged that Hu raised over $5 million from eight investors through false representations that prominent international law firms were legal counsel to the ...
The Commission’s complaint alleged that Respondent operated EIMT as a Ponzi scheme. Through EIMT, Respondent obtained more than $40 million from approximately 150 investors, many ...
Huish drafted marketing materials sent to investors and prospective investors in Founders that materially overstated the Funds’ size and ability to fund deals that would ...
SEC Obtains Final Judgment Against Perpetrator of Multi-Million Dollar Offering Fraud