Private Funds

One red flag was that the research firm’s Form ADV2 indicated that the political intelligence analyst also served as the research firm’s Chief Compliance Officer. ...

Usually the SEC wants its money within 10-14 days. But a private fund adviser will get up to three years to pay off its enforcement ...

Coachman failed to adequately disclose its methodology for calculating the management fees and management-related expenses it charged to the funds. As a result of its ...

The court found Steven Hicks of Ridgefield, Connecticut, liable on the SEC's claim that he misappropriated investor funds. The SEC has been actively litigating the ...

Jordan Fogel, who agreed to cooperate with the SEC in its ongoing litigation against the remaining defendants for their roles in the insider trading scheme, ...

Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers to a new record high ...

This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...

Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...

From 2012 through 2014 (the “Relevant Period”), Enviso Capital and two of its principals, Bowers and LaBerge, materially overstated the value of two private funds ...

The Commission’s complaint alleged that, from at least April 2007 through May 2011, Puma, and others, engaged in a scheme to defraud investors by convincing ...