Valuation

Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...

For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...

The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...

A private fund adviser counted his chickens before they hatched and now the SEC has barred him. Scott Huish will also have to pay over ...

The CCO of a Colorado private equity firm will pay $15,000 to settle claims that he helped his bosses defraud investors in a $25 million ...

A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...

This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...

A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was ...

SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities and Exchange ...

You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...