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Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
An embattled private fund is distancing itself from the former SEC official it hired to run its own compliance program. GPB Capital says it was ...
A former NFL linebacker is facing 330 years in prison after a federal jury convicted him of a long-running, $10 million fraud. Merrill Robertson, Jr., ...
That private equity has become a metonymy for a host of politically sensitive issues — the wealth gap, corporate greed, financial stability, among them — ...
Changes to FINRA’s rules on who can buy or sell initial equity public offerings or new issues open doors not just for broker-dealers but—potentially—private fund ...
Rule clarifies proprietary trading and ownership of hedge or private equity funds
Federal authorities have indicted a former SEC investigator on charges he tried to sweeten a prospective employer by leaking details of an ongoing investigation to ...
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
We talked last week about how an aging population is going to challenge broker-dealers and especially advisers to protect their aging clients from being conned ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...
An investment adviser to a private African development fund left the meter running on a mine and now will have to pay the fare, the ...
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...
SEC Announces Fraud Charges Related to Wisconsin Investment Fund Litigation Release No. 24632 / September 30, 2019 Securities and Exchange Commission v. Bluepoint Investment Counsel, ...
ECP included the approximately $3.41 million of invested capital contributions attributable to the warrants in the base amount used to calculate management fees that were ...
The SEC asked private fund advisers and others in June about the wisdom of permitting non-accredited investors to participate in private offerings. The Commission heard ...
On February 15, 2018, Lattanzio was convicted of two counts of securities fraud, violating 15 U.S.C. §§ 78j(b) & 78ff; and two counts of wire ...
The CCO of a Colorado private equity firm will pay $15,000 to settle claims that he helped his bosses defraud investors in a $25 million ...
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 ...
The Complaint alleged that Hu raised over $5 million from eight investors through false representations that prominent international law firms were legal counsel to the ...
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