Barton Stuck is currently free on bond and is awaiting sentencing
Matthes stole $2.4 million from 26 of his customers and clients
The portolio manager managed the Fund differently from what was represented to investors and their advisers
Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
The proposal would expand the list of entities that may qualify as accredited investors
Burroughs executed a scheme to defraud his investment clients that resulted in him misappropriating approximately $575,000 from three investors
The Commission is granting this nine-month extension because it believes the temporary exemptions from these provisions warrant further consideration
The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...