The credentials heralded by the hedge fund adviser principal were certainly impressive—an MBA in finance from Dartmouth, a prior portfolio manager with Bear Stearns, a ...
The Commission’s complaint alleged that, from November 2013 through April 2014, Moses and MIC misrepresented 1) Moses’ past experience as a trader or portfolio manager ...
Nicholas Genovese, Willow Creek Investments and Willow Creek Advisors: SEC Halts Ongoing Fraud by...
Nicholas Joseph Genovese and his hedge fund Willow Creek Investments LP raised more than $5.3 million from at least six investors by affirmatively misrepresenting ...
Two years ago, the number of private equity funds topped hedge funds, and that trend continues as evidenced by the release of the latest aggregate ...
The complaint alleges that between 2011 and 2014, Hoplon and Vazquez sold membership units in the fund, raising $2.18 million from 27 investors, primarily from ...
Mazzola allegedly continued to be associated with Saddle River and Felix Investments after the Commission’s prior administrative order by soliciting investments for compensation on behalf ...
A new final rule from the SEC tweaks two Advisers Act rules to bring them into agreement with Congress’s 2015 FAST Act (IA Watch, March ...
We are adopting amendments to the rule that defines a venture capital fund (rule 203(l)-1) and the rule that implements the private fund adviser exemption ...
The Commission’s complaint alleged that Tao violated Section 15(a) of the Exchange Act by selling away from his associated registered broker and acting as an ...
The Commission’s complaint alleged, among other things, that Boyd violated Section 15(a) of the Exchange Act by selling away from her associated registered broker and ...