Private Funds

This matter concerns disclosure violations arising from an undocumented and undisclosed $3 million dollar loan from Norman M.K. Louie (“Louie”), who at the time was ...

Here we summarize rules for selling foreign funds into various locales around the globe

Not disclosing a side letter agreement with two affiliated outside asset managers entitling a New York-based investment adviser to quarterly payments based on a percentage ...

This matter concerns a failure to disclose conflicts of interest by Lyxor Asset Management, Inc. (“Lyxor”), an investment adviser, to certain of its clients arising ...

Six weeks ago, PF Watch predicted a number of advisers would soon settle their SEC enforcement cases for not filing Form PF (PF Watch, April ...

These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called Aberon Capital Master ...

The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (PF ...

Only a few years ago, Premium Point Investment ($84M in AUM), a New York hedge fund adviser, managed $2.5 billion in assets. Now it’s shutting ...

The scheme ran from at least September 2015 through March 2016 and relied on a secret deal where in exchange for sending trades to a ...

Murakami admitted to diverting millions of dollars of investor funds to business and personal accounts that he controlled, and using the money to pay for ...