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Valuation
Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...
The CCO of a Colorado private equity firm will pay $15,000 to settle claims that he helped his bosses defraud investors in a $25 million ...
A private fund adviser counted his chickens before they hatched and now the SEC has barred him. Scott Huish will also have to pay over ...
A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...
This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...
A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was ...
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 ...
SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities and Exchange ...
This matter involves Respondent Rege’s mispricing of investments for a private fund for which he served as a portfolio manager, resulting in artificially inflated fund ...
RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...
The Commission’s amended complaint alleged that David Goulding allowed his father to use the Funds’ assets to pay personal expenses which were not supported by ...
The very first line of the SEC settlement summary pulls no punches, offering words of caution to all private fund advisers. “Valuation of client assets ...
For most of the Relevant Period, the RMC consisted of Deer Park’s Chief Compliance Officer, who was a former geochemist and
brother-in-law of Portfolio Manager ...
Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...
Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abruptly resigned ...
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper disclosure ...
This matter arises from FSM’s improper allocation of expenses to its former business development company (“BDC”) clients, and failures relating to the valuation of two ...
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an egregious ...
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