Year: 2015

The SEC and the Manhattan U.S. Attorney’s Office brought actions against a hedge fund adviser who lost most of the money raised from investors through risky trading while trying to conceal that fact from them, the brokers and others – …

IA Settles With SEC, USAO After Letter to Investors Admitting Losses Read More »

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Undisclosed conflicts by investment advisers and others is a focus of the current SEC enforcement program. In its most recent action, the conflicts came from a firm with an indirect, undisclosed controlling interest in the adviser. Unlike most of these …

SEC Charges IA With Fraud Tied To Conflicts, Undisclosed Interest Read More »