Conflicts of Interest

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...

More than a decade after Goldman Sachs paid $550 million to settle an SEC enforcement action that became a symbol of the excesses ahead of ...

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...

“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...

The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...

Enforcement action tied to BlueCrest's transfer of top traders from its flagship hedge fund to a proprietary hedge fund

Advisers were encouraged to gather their business staff with compliance so that everyone “understands all of the revenue sources” coming into a firm

A Kansas private fund adviser thought it could save its clients a few bucks but it didn’t properly disclose or manage its cross-trading policies, and ...

A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...

A former SEC examiner, once facing decades behind bars on accusations that he leaked secrets of ongoing investigations to sweeten his job prospects, has agreed ...