Private Funds

Only one type of PE fund adviser tends to use its funds to pay to cover SEC RIA registration as well as related compliance costs. ...
Mohlman made payments to satisfy the obligations of third parties, and in 2013, used one of the private fund's assets to make a $150,000 unsecured ...
Meadlin engaged in a scheme to induce clients, and prospective investors and clients, to invest funds through fraudulent misrepresentations and omissions of material fact. For ...
Multiple compliance backstops were in place at hedge fund adviser Brahman Capital Corp. to safeguard confidential information. Despite the firm’s written P&Ps, code of ethics, ...
Tao falsely claimed investor funds would be held in escrow and returned unless $2.5 million was raised. The complaint further alleges that while some of ...
This matter arises from Paritosh Gupta’s improper sharing of confidential information and advice – obtained from his position as a senior research analyst with a ...
Paritosh Gupta (“Gupta”), a former senior Brahman research analyst, transmitted Brahman’s confidential information to Nehal Chopra (“Chopra”), whom Gupta first met in 2006 and subsequently ...
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on ...
The Commission’s complaint alleged that, between March 2010 and October 2013, Penn engaged in a fraudulent scheme to misappropriate approximately $9 million from a private ...
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