Examinations Enforcement: SEC Actions

Federal officials have opened a criminal investigation into the founder of a Florida private fund adviser accused of bilking ailing former football stars out of ...

Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...

A “party cannot circumvent the SEC judicial review statute” by challenging its constitutionality before an enforcement action plays out

A Coral Gables, Fla. private fund adviser and his firm bilked accredited investors out of millions by misrepresenting the funds’ past performance, their firms’ AUM ...

A Miami private fund adviser incorrectly billed real estate funds it advised $3 million in expense reimbursement, costs that should’ve been billed to its co-investment ...

Communications to fund boards' on arrangement considered misleading

Ross also routinely highlighted the Funds’ historically high and stable returns in his oral conversations with prospective and current investors in the Funds, as well ...

A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...

Brewer has been a regular contributor to media networks, programs, and publications, including Yahoo Finance, CNBC, Fox Business, CNN, and the American City Business Journals

Failures stemmed from allocations tied to day trade and buy-and-hold clients