The SEC's complaint alleges that David Blaszczak, a former government employee turned political intelligence consultant, obtained key confidential details about upcoming decisions by the Centers ...
The SEC's complaint alleges that Yasuna Murakami misappropriated more than $8 million for business and personal expenses and made approximately $1.3 million in Ponzi-like payments ...
Nine months after the SEC charged Leon Cooperman and his New York-based RIA Omega Advisors ($6.1B in AUM) with insider trading and beneficial ownership reporting ...
You hear it so much it can be easy to dismiss it as hyperbole: an enforcement action comes with reputational harm. That appears to ...
Defendants raised more than $1.1 million from at least 30 investors and, to induce at least some individuals to invest, and to lure them into ...
We are proposing to amend the definition of a venture capital fund (rule 203(l)–1) and the private fund adviser exemption (rule 203(m)–1) under the Investment ...
The SEC has released another snapshot of the private fund industry. Its latest report on Private Fund Statistics tracks trends through data reported via forms ...
Mark Varacchi: Court Enters Judgment Against Connecticut Man and His Investment Advisory Firm and...
Sentinel and Varacchi misrepresented to investors that money they deposited with the firm would be allocated to up-and-coming hedge fund managers for investment purposes. According ...
The SEC alleges that Avaneesh Krishnamoorthy learned that Golden Gate Capital planned to acquire Neustar Inc., and he then began trading in Neustar securities. The ...
Next Tuesday, George Palathinkal should learn how much time he may have to spend behind bars. The 55-year-old former CFO of an investment adviser lied ...