Private Funds

Cushing, on behalf of a hedge fund it managed, sold 1,565,786 units of a publicly traded master limited partnership (“MLP”) to a closed-end fund and ...

Shortly after his release from prison, Earls formed an investment adviser entity and hedge fund and began soliciting investors. From 2015 through 2018, in connection ...

A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out ...

Lemelson used written reports, interviews, and social media to spread untrue claims, including that Ligand was "teetering on the brink of bankruptcy" and that Ligand's ...

In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until October 17, ...

Respondents immediately halted the offering when contacted by the Commission staff and undertook a review of CAM’s website, marketing materials, and offering procedures. In addition, ...

An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a ...

The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...

BCM compliance manual stated that employees were required to “avoid establishing financial interests or outside affiliations that may create a conflict or appear to create ...

Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like payments. The SEC also charged Murakami's former business partner, ...