Private Equity

Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...

Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...

The Commission’s complaint alleges that in November and December 2016, while employed at the Investment Bank, Krishnamoorthy learned highly confidential details about a private equity ...

The LPAs did not disclose that the Private Equity Funds would also pay the broken deal expenses for the portion of each investment that would ...

Taking remedial actions have been shown to curry favor with SEC enforcement staff. The latest example of this comes with a strange twist.   The ...

Respondents improperly charged $2.2 million in fees to Fund I for services provided by PAMCO affiliates to a portfolio company of Fund I. PAMCO was ...

This matter arises from CDI’s improper allocation of certain expenses to a private equity fund client. Respondent is an investment adviser that has at all ...

Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers to a new record high ...

This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...

A peer shares a copy of OCIE's exam letter that included a look at private equity.