SEC Actions

Robert Allen Gravette failed to adequately disclose the compensation arrangements he negotiated with the fund managers of four private placement offerings he recommended to his ...

Within days of receiving the investor’s $1 million, Betanabhatla—in direct violation of the promises made to the investor and contrary to Fund IV’s stated investment ...

During the relevant period, however, BACNAH’s Fraud Investigations Group used a $25,000 threshold, instead of the proper $5,000 threshold, with respect to transactions or attempted ...

This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...

These proceedings arise out of the deletion by JPMorgan of approximately 47 million electronic communications in about 8,700 electronic mailboxes relating to the period January ...

The Funds’ LPAs did not disclose the criteria that Insight would use to evaluate whether a portfolio investment suffered a permanent impairment

In the 79 months of miscalculations, PIMCO never identified any concerns with the sub-administrator’s calculation of the Fee Waiver amounts

Jennifer Campbell pleaded guilty to one count of wire fraud and was sentenced to a prison term of 36 months

PIMCO inadequately disclosed that paired interest rate swaps in PGP’s portfolio had become a material source of distributable income, which enabled PIMCO to maintain PGP’s ...

The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...