Private Funds

From 2012 through 2014 (the “Relevant Period”), Enviso Capital and two of its principals, Bowers and LaBerge, materially overstated the value of two private funds ...
The Commission’s complaint alleged that, from at least April 2007 through May 2011, Puma, and others, engaged in a scheme to defraud investors by convincing ...
Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...
In May 2013, a new CFO/CCO began working at Resilience. The CFO/CCO subsequently discovered the improper advances to Resilience and outstanding general partner capital calls ...
A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...
In a scheme that ultimately will take down a hedge fund adviser and led to the suicide of a participant, a former portfolio manager at ...
Despite the multitude of lessons learned from the Bernie Madoff Ponzi scheme unearthed nine years ago, the SEC continues to bring Ponzi scheme charges against ...
Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...
In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...
In 2011, the SEC charged Illarramendi and various entities owned or controlled by him, including investment advisers Highview Point Partners LLC, and Michael Kenwood Capital ...
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