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...
BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval June 15, 2021 The SEC has settled charges against a California-based investment adviser and its co-principal...
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...
SEC Fines PE Fund Adviser $1.9 Million for Undisclosed Fee Practices, Criticizes Use of the Word “May” April 27, 2020 The SEC has settled charges with a New York-based private...
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