Examinations Enforcement: SEC Actions

The Committee is monitoring the investment adviser and investment company space for failures to honor redemption requests at both private funds and registered investment companies

For nearly three decades, Marko Dimitrijevic was an impresario in emerging market funds. His firm, Everest Capital, attracted early investments from George Soros and Dimitrijevic’s ...

A New York private equity fund adviser has agreed to pay nearly $1.9 million to settle SEC accusations that it hid management fees from its ...

Even as the SEC is weighing changes to its fund valuation rules, it hasn’t stopped enforcing current ones, as mutual fund adviser Semper Capital Management ...

PAA’s registration as a broker or dealer is revoked

During his time on the UBS syndicate desk, Orellana understood that flippers generally did not qualify for retail priority

Groups have petitioned the SEC to end its 30-year "effort to ... outlaw Rule 12b-1 fees"

The initiative returned nearly $140 million to harmed investors

New issue municipal bonds were improperly obtained

“Gooder now recognizes the importance of rules regulating investment advisers and intends to continue complying with them ‘enthusiastically’ going forward”