Valuation

A private fund adviser counted his chickens before they hatched and now the SEC has barred him. Scott Huish will also have to pay over ...

A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...

This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...

A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was ...

You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...

SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities and Exchange ...

This matter involves Respondent Rege’s mispricing of investments for a private fund for which he served as a portfolio manager, resulting in artificially inflated fund ...

RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...

The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not supported by ...

The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client assets ...