Private Funds

A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...

In a scheme that ultimately will take down a hedge fund adviser and led to the suicide of a participant, a former portfolio manager at ...

Despite the multitude of lessons learned from the Bernie Madoff Ponzi scheme unearthed nine years ago, the SEC continues to bring Ponzi scheme charges against ...

Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...

In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...

In 2011, the SEC charged Illarramendi and various entities owned or controlled by him, including investment advisers Highview Point Partners LLC, and Michael Kenwood Capital ...

The SEC's complaint, filed in federal court in the Western District of North Carolina, alleges that between at least April 2010 and at least August ...

The SEC's complaint alleges that Yasuna Murakami misappropriated more than $8 million for business and personal expenses and made approximately $1.3 million in Ponzi-like payments ...

Defendants raised more than $1.1 million from at least 30 investors and, to induce at least some individuals to invest, and to lure them into ...

We are proposing to amend the definition of a venture capital fund (rule 203(l)–1) and the private fund adviser exemption (rule 203(m)–1) under the Investment ...