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PF Rules & Regulatory Actions

Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...
Fake documentation was used to deceive clients
Rule clarifies proprietary trading and ownership of hedge or private equity funds
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 ...
SEC Obtains Sanctions Against Investment Adviser Litigation Release No. 24640 / October 10, 2019 Securities and Exchange Commission v. Thomas Conrad, Jr. et al., No. ...
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 ...
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 ...
Huish drafted marketing materials sent to investors and prospective investors in Founders that materially overstated the Funds’ size and ability to fund deals that would ...
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 ...
The Commission’s complaint alleged that Respondent operated EIMT as a Ponzi scheme. Through EIMT, Respondent obtained more than $40 million from approximately 150 investors, many ...
SEC Obtains Final Judgment Against Perpetrator of Multi-Million Dollar Offering Fraud
This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...
First, from January 2014 through October 2016, Tysdal and Carter raised approximately $25 million from debt investors in Cobalt for the stated purpose of making ...
In July 2016, GIG’s Chief Compliance Officer identified the omission of parties from the Application and the resulting non-compliance with the Co-Invest Order and informed ...
ED Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written policies and procedures reasonably ...
Friedman characterized the investment opportunity as attractive because it allowed them to buy into an existing series which they could not do otherwise because it ...
EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent by such ...
SEC Charges Orange County, California Investment Advisers with Fraud Litigation Release No. 24560 / August 14, 2019 Securities and Exchange Commission v. Stuart Frost and ...
The net effect of these transactions was that MVP and its personnel were paid, either directly or through the Broker, up-front fees of between eleven ...
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