Private Funds

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 ...

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 ...

The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players in what ...

It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund ...

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 Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...

Claiming to have enough assets to qualify for SEC registration when an adviser doesn’t lays out a road to trouble. A new enforcement settlement bars ...

You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...