Private Funds

The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA sold AGF II securities in a private placement offering using offering ...

The Commission’s complaint alleged that, from at least March 2011 to December 2013, Allen, through his broker dealer PAA, sold AGF II securities in a ...

The Commission’s complaint alleged that, from at least March 2011 to December 2013, PAA, through its owner Allen, sold AGF II securities in a private ...

For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...

The SEC asked private fund advisers and others in June about the wisdom of permitting non-accredited investors to participate in private offerings. The Commission heard ...

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 ...

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 ...

SEC Obtains Final Judgment Against Perpetrator of Multi-Million Dollar Offering Fraud

The OCC, Board, FDIC, SEC, and CFTC are adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains ...