The SEC has fined a California-based registered investment adviser and its president for custody failures. The president, who was the majority owner of the adviser, facilitated $30 million in loans...
The SEC has fined a Connecticut-based investment adviser and its principal for inadequate disclosure of conflicts of interest related to investments of a private fund client and for violations of...
The SEC has fined an Ohio-based dual-registrant for violating the Custody Rule because the firm did not provide investors in two private funds that it advised with audited financial statements...
Florida Adviser Sanctioned Over Performance Fees, Custody Rule Violations October 2, 2020 The SEC fined a Florida-based investment adviser and its president $61,808.34 in connection with violations of the...
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