Disclosure

Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off ...

The latest Form ADV from DDJ Capital Management ($8B in AUM) in Waltham, Mass., discloses the adviser’s newest policy. Last year, it adopted a remuneration ...

A peer shares this document, which is used to have clients acknowledge how the firm is paid and other compensation information.

These proceedings arise from material misstatements and omissions made by Equinox in the offer and sale of units in the Frontier Fund (“TFF”), a publicly ...

This matter arises from false and misleading statements in certain JPMS marketing materials regarding how JPMS compensated registered representatives in its U.S. Private Bank (“JPM ...

From May 2008 to 2013, JPMS failed to disclose that it designed and operated Chase Strategic Portfolio, a retail unified managed account program, with a ...

JPMCB failed to fully disclose its preference for investing its client funds in certain commodity pools or exempt pools, namely hedge funds and mutual funds ...

This proceeding involves fraud and breaches of fiduciary duty by Li and Canarsie from late 2012 to January 2015, which exposed the Canarsie Capital Fund ...

JHP did not adequately disclose to the advisory boards of the affected Funds the potential conflicts of interest created by the undisclosed loans and cross-over ...

The Complaint alleged that YZ and Zhang used misleading and deceptive promotional material, in violation of NFA Compliance Rules 2-2(a), 2-29(a)(1), 2-29(b)(1) and (2). The ...