Conquering Current Compliance Challenges
Sept. 11, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 12, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
ENFORCEMENT ACTIONS - LITIGATION RELEASES
Release Parties Date
LR_24560 Stuart Frost and Frost Management Company: SEC Charges Orange County, California Investment Advisers with Fraud 08/14/2019
LR_24548 Christopher Plaford: SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading 07/29/2019
LR_24539 Paul Alar and West Mountain: SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets 07/18/2019
LR_24510 Avi Chiat: SEC Obtains Final Judgment Against Defendant in Hedge Fund Fraud Scheme 06/24/2019
LR_24461 Christopher Dougherty: SEC Charges San Diego-Based Investment Adviser with Running a Ponzi Scheme 04/26/2019
LR_24458 Eric Lyons: SEC halts private fund adviser's misappropriation in Massachusetts 04/23/2019
LR_24449 Arif M. Naqvi and Abraaj Investment Management Limited: SEC Charges Dubai-Based PE Fund Advisory Firm and Its Founder 04/11/2019
LR_24432 Direct Lending Investments: SEC Charges Investment Adviser with Long-Running Fraud 03/25/2019
LR_24431 Barry Honig and others: SEC Settles with Multiple Defendants in Market Manipulation Case and Amends Complaint as to Thirteen Remaining Defendants 03/22/2019
LR_24388 Alexander Burns: SEC Obtains Fraud Judgment Against Co-Owner of Defunct PE Fund Adviser 02/01/2019
LR_24383 Joseph Meyer, Jr. and Statim Holdings: SEC Charges Atlanta Investment Adviser with Defrauding a Private Fund and Its Investors 01/28/2019
LR_24326 Yorkville Advisors, Mark Angelo and Edward Schinik: Parties Stipulate to Dismiss Remaining Claims Following Partial Grant of Summary Judgment Motion 10/29/2018
LR_24324 Alexander Burns: Co-Owner of Defunct New York-Based Private Equity Firm Consents to Judgment for Defrauding Advisory Clients 10/23/2018
LR_24285 Hope Advisors: SEC Obtains Consent Judgment Against Investment Advisor and Principal 09/21/2018
LR_24267 Gregory Lemelson, Lemelson Capital Management and The Amvona Fund: SEC Charges Hedge Fund Adviser with Short-And-Distort Scheme 09/13/2018
LR_24226 Yasuna Murakami: SEC Obtains Final Judgment Against Defendants in Hedge Fund Fraud Scheme 08/06/2018
LR_24154 Gustavo Guzman: Court Enters Judgment Against Former Trading Instructor for Defrauding Private Fund Investors 06/04/2018
LR_24138 Premium Point Investments: SEC Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance 05/09/2018
LR_24135 Yasuna Murakami: Massachusetts Hedge Fund Manager, Defendant in SEC Action, Sentenced to Six Years' Imprisonment in Parallel Criminal Case 05/07/2018
LR_24076 McKinley Mortgage Co.: SEC Charges Operators of Private Real Estate Fund with Scheme to Defraud Retail Investors 03/22/2018
LR_24071 Nicholas J. Genovese, Willow Creek Investments and Willow Creek Advisors: SEC Obtains Preliminary Injunction Against Purported Hedge Fund Manager Charged with Conducting an Ongoing Fraud 03/21/2018
LR_24063 Edward Henderson: Promoter in Securities Kickback Scheme Barred from Penny Stock Offerings 03/05/2018
LR_24061 Stefan Lumiere: SEC Bars Hedge Fund Manager Charged In Asset Management Mismarking Scheme 03/05/2018
LR_24052 Daniel Thibeault: Relief Defendant in Fraud Case Against Massachusetts Investment Adviser is Ordered to Pay Over $500,000 02/16/2018
LR_24050 Commonwealth Advisors and Walter Morales: Baton Rouge-Based Investment Adviser To Be Barred and Firm Registration To Be Revoked For Hiding Losses From Investors 02/15/2018
LR_24049 Southridge Capital Management: Court Orders Connecticut Hedge Fund Manager and Firms to Pay Nearly $13 Million in SEC Case 02/15/2018
LR_24045 Timothy Batchelor: Atlanta-area Resident Charged with Misusing Investor Funds 02/13/2018
LR_24038 Nicholas Genovese, Willow Creek Investments and Willow Creek Advisors: SEC Halts Ongoing Fraud by Purported Hedge Fund Manager 02/02/2018
LR_24031 Hoplon Financial Group: SEC Charges State-Registered Investment Adviser, CEO, and Former COO with Offering Fraud 01/23/2018
LR_24011 Louis Mohlman, Mohlman Asset Management: SEC Charges IA with Fraudulently Engaging in Conflicted Transactions and Misleading Investors 12/14/2017
LR_24003 James Tao and Donna Boyd (f/k/a Donna Chen): Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors 12/05/2017
LR_23982 Paul Singer and Singer Financial Corp.: Philadelphia Mortgage Lender Charged with Illegal Securities Offering 11/09/2017
LR_23905 Southridge Capital Management: Court Orders Hedge Fund Manager and Firms to Pay Nearly $13 Million in SEC Case 08/11/2017
LR_23899 David Blaszczak: SEC Announces Settlement with Cooperator in Trading Scheme Involving Confidential Government Information 08/08/2017
LR_23843 SEC wins final judgement against Francisco Illarramendi, a private fund adviser fraudster who stole millions and rests in prison for 13 years 05/24/2017
LR_23842 Gustavo Guzman: SEC Charges Former Trading Instructor with Defrauding Private Fund Investors 05/24/2017
LR_23841 David Blaszczak: "political intelligence" consultant charged in trading scheme involving confidential government information 05/24/2017
LR_23837 Murakami: Hedge Fund Manager Charged With Making Ponzi Payments, Defrauding Investors 05/22/2017
LR_23822 Mark Varacchi: Court Enters Judgment Against Connecticut Man and His Investment Advisory Firm and Appoints Receiver In Hedge Fund Ponzi Scheme Case 05/01/2017
LR_23814 Avaneesh Krishnamoorthy and Shreya Achar: Investment Bank VP Charged with Insider Trading in advance of a PE acquisition 04/26/2017
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