SEC Fines PE Fund Adviser $4.5 Million in Connection with Fee Calculations
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December 21, 2021
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Adviser, Principals Fined for Charging Clients Fees Without Providing Advice
One Principal Barred for Three Years from Acting as Chief Compliance Officer A Michigan-based investment adviser and two of its principals are paying more than $900,000 to settle SEC charges...
October 05, 2021
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...
September 22, 2021
SEC Brings More Revenue Sharing Disclosure Cases
SEC Brings More Revenue Sharing Disclosure Cases August 17, 2021 Revenue sharing disclosure violations are at the heart of two new enforcement actions by the SEC. In the first...
August 17, 2021
SEC Adds Lack of Disclosure of Margin Interest Mark-Ups to Share Class-Related Violations
SEC Adds Lack of Disclosure of Margin Interest Mark-Ups to Share Class-Related Violations August 4, 2021 In another case that underscores the SEC’s harsher findings and penalties for share...
August 04, 2021
Adviser to Pay $97 Million in Connection with Rollover Conflicts
Adviser to Pay $97 Million in Connection with Rollover Conflicts July 13, 2021 A New York-based firm dually registered as an investment adviser and broker-dealer has agreed to pay...
July 13, 2021
SEC Continues to Bring Share Class Enforcement Cases
SEC Continues to Bring Share Class Enforcement Cases Recent Case Involves Unit Investment Trusts June 29, 2021 The SEC recently brought enforcement actions against two investment advisers and an...
June 29, 2021
SEC Fines Adviser for Undisclosed Third-Party Loans to its IARs
SEC Fines Adviser for Undisclosed Third-Party Loans to its IARs June 15, 2021 The SEC brought an enforcement action against an Arizona-based investment adviser for failing to disclose to...
June 15, 2021