Tag: investment adviser

Sometimes it can be difficult to do the right thing. For example, in the SEC’s latest case involving an investment adviser, a valuation error was discovered. A correction was made. The investors were compensated. The adviser, however, failed to follow …

SEC Charges Adviser With Improper Valuation Read More »

Tagged with: , ,

The Commission’s enforcement division and inspectors at OCIE continue to work closely and have developed a series of cases in recent months. One of the more unusual proceeding spawned through this relationship is the action involving a hedge fund, its …

SEC Charges Adviser With Fraud Tied to “Death Puts” Read More »

Tagged with: , ,