Recently, the U.S. Securities and Exchange Commission (the “SEC”) charged a dually registered firm and its Chief Compliance Officer (“CCO”) with multiple violations of the Investment Advisers Act of 1940 (“Advisers Act”). The...more
In a ruling handed down on Tuesday, a Southern District of New York judge ordered the U.S. Attorney’s Office for the Southern District of New York (“USAO”) to submit a full account of their communications with the SEC after...more
6/21/2019
/ Affidavits ,
Criminal Conspiracy ,
Criminal Investigations ,
Criminal Prosecution ,
Due Process ,
Intent to Defraud ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
U.S. Attorney ,
Wire Fraud