Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring
Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring, and Disclosures January 5, 2021 The SEC has fined a New Jersey-based dual-registrant over...
January 05, 2021
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards
SEC Enforcement Breaks Records for Total Disgorgement, Penalties, and Whistleblower Awards November 5, 2020 The SEC’s Division of Enforcement’s 2020 annual report shows a record in total monetary remedies...
November 05, 2020
Virginia Adviser Pays Over $1 Million for Failing to Reduce Fees as a Result of Write Downs
Virginia Adviser Pays Over $1 Million for Failing to Reduce Fees as a Result of Write Downs October 29, 2020 The SEC has fined a private equity fund adviser...
October 29, 2020
Adviser that Self-Reported Recapture of Waived Expenses to Pay Disgorgement But No Penalty
Adviser that Self-Reported Recapture of Waived Expenses to Pay Disgorgement But No Penalty October 5, 2020 According to a recent SEC order, between January 2016 and February 2019, a...
October 05, 2020
SEC Fines PE Fund Adviser $350,000 for Misallocating Expenses to Fund Clients
SEC Fines PE Fund Adviser $350,000 for Misallocating Expenses to Fund Clients August 20, 2020 The SEC has settled charges with a Florida-based private equity fund adviser for misallocating...
August 20, 2020
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