Elisa Cardano Perez

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SEC Settles Enforcement Proceedings Against Investment Adviser Regarding Alleged Misleading Disclosure Concerning Capital Gains...

On January 17, 2025, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for allegedly making materially misleading statements relating to capital gains distributions...more

2/28/2025  /  Capital Gains , Class Action , Disclosure Requirements , Enforcement Actions , Fiduciary Duty , Investment Adviser , Investment Funds , Securities and Exchange Commission (SEC) , Securities Fraud , Settlement

SEC Settles Enforcement Proceedings Against Adviser for Allegedly Misleading Investors Regarding Its Investment Strategy

On September 19, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for allegedly making misleading statements regarding how it managed investments for clients...more

10/16/2024  /  Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Investors , Securities and Exchange Commission (SEC)
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