Private Funds

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 ...

Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...

From 2012 through 2014 (the “Relevant Period”), Enviso Capital and two of its principals, Bowers and LaBerge, materially overstated the value of two private funds ...

The Commission’s complaint alleged that, from at least April 2007 through May 2011, Puma, and others, engaged in a scheme to defraud investors by convincing ...

A peer shares an example of a supplement to a subscription agreement to make ERISA reps and warranties because of the Labor Department's fiduciary duty ...

In a scheme that ultimately will take down a hedge fund adviser and led to the suicide of a participant, a former portfolio manager at ...

Despite the multitude of lessons learned from the Bernie Madoff Ponzi scheme unearthed nine years ago, the SEC continues to bring Ponzi scheme charges against ...

Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...

In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...

In 2011, the SEC charged Illarramendi and various entities owned or controlled by him, including investment advisers Highview Point Partners LLC, and Michael Kenwood Capital ...