Private Funds

The complaint also alleges that a) Hicks and the Southridge Entities defrauded their investors by promising investors that at least 75% of their money would ...

This settlement also resolves allegations that Hicks fraudulently solicited investors by telling them that the majority of their investments would be placed in unrestricted, ...

This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.

The credentials heralded by the hedge fund adviser principal were certainly impressive—an MBA in finance from Dartmouth, a prior portfolio manager with Bear Stearns, a ...

The Commission’s complaint alleged that, from November 2013 through April 2014, Moses and MIC misrepresented 1) Moses’ past experience as a trader or portfolio manager ...

Nicholas Joseph Genovese and his hedge fund Willow Creek Investments LP raised more than $5.3 million from at least six investors by affirmatively misrepresenting ...

All this story’s missing is the screenwriter.   The real-life characters include a failed politician turned skillful fraudster. He heads to prison next month. Add ...

Two years ago, the number of private equity funds topped hedge funds, and that trend continues as evidenced by the release of the latest aggregate ...

A new final rule from the SEC tweaks two Advisers Act rules to bring them into agreement with Congress’s 2015 FAST Act (IA Watch, March ...

We are adopting amendments to the rule that defines a venture capital fund (rule 203(l)-1) and the rule that implements the private fund adviser exemption ...