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Fraud › Cease and Desist Orders › Investment Advisers Act of 1940

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Carlton Fields

Builder of Investment Models Deviates From Blueprints - Employee’s Rogue Remodeling Costs Builder Plenty

Carlton Fields on

The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered investment advisers Two Sigma Investments LP and Two Sigma Advisers LP illustrates significant risks for investment...more

Seward & Kissel LLP

SEC Settles Charges with Adviser for Fraud Involving Overvaluation of CMOs

Seward & Kissel LLP on

Who may be interested: Investment Advisers, Compliance Staff, Registered Investment Companies - Quick Take: The SEC recently announced settled charges against a registered investment adviser for overvaluing approximately...more

Troutman Pepper Locke

SEC Applies Advisers Act Provisions to Nonadvisor Fund Service Providers

Troutman Pepper Locke on

The SEC continues to expand the scope of responsibilities and standards applicable to gatekeepers. In an application of the Investment Advisers Act of 1940 (Advisers Act) to the actions of a nonadviser fund service...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more

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