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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 ...
The SEC's complaint, filed in federal court in the Western District of North Carolina, alleges that between at least April 2010 and at least August ...
The SEC's complaint alleges that Yasuna Murakami misappropriated more than $8 million for business and personal expenses and made approximately $1.3 million in Ponzi-like payments ...
Defendants raised more than $1.1 million from at least 30 investors and, to induce at least some individuals to invest, and to lure them into ...
We are proposing to amend the definition of a venture capital fund (rule 203(l)–1) and the private fund adviser exemption (rule 203(m)–1) under the Investment ...
The SEC has released another snapshot of the private fund industry. Its latest report on Private Fund Statistics tracks trends through data reported via forms ...
Mark Varacchi: Court Enters Judgment Against Connecticut Man and His Investment Advisory Firm and...
Sentinel and Varacchi misrepresented to investors that money they deposited with the firm would be allocated to up-and-coming hedge fund managers for investment purposes. According ...
The Complaint alleges that the Johnsons misappropriated all of pool participants’ funds by paying their own personal expenses, by depositing pool participants’ funds into their ...
The Commission’s complaint alleged that Cohn, through Marketaction Advisors, raised nearly $1.8 million from investors who purchased Limited Liability Company interests in the Fund. The ...