Year: 2016

The Commission has brought a series of cases against private equity centered on undisclosed fees and conflicts of interest – key areas of interest during OCIE exams. The latest proceeding in this string of cases involves four private equity advisers …

SEC Charges Private Equity Advisers With Inadequate Disclosure Read More »

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Offering fraud actions continue to be a staple of SEC enforcement. The Commission’s most recent action is this stream of cases involved a limited liability company that never engaged in business. SEC v. Jones, Civil Action No. 1:16-cv-01695 (D.D.C. Filed …

SEC Files Settled Offering Fraud Action Read More »

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