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...
SEC Charges Private Funds Auditor for Causing Adviser to Violate Custody Rule July 27, 2021 The SEC has instituted administrative proceedings against a Colorado-based SEC-registered adviser’s audit firm, audit...
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...
Investment Adviser Fined $75,000 for Custody Rule Violations September 18, 2020 The SEC settled an enforcement action with a New York City-based investment advisory firm for violations of the...
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