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Fraud › Investment Advisers Act of 1940 › Conflicts of Interest

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Akin Gump Strauss Hauer & Feld LLP

Atkins-led SEC Recognizes that Conflicts of Interest must be “Material” in Complaint alleging Fraud and Breaches of Fiduciary...

Akin Gump Strauss Hauer & Feld LLP on

SEC v. Nagler is the second enforcement action charging an investment adviser with undisclosed conflicts of interest since Chair Paul Atkins began his tenure on April 21, 2025. The Securities and Exchange Commission (SEC)...more

ArentFox Schiff

2024 Examination Priorities for Investment Advisers from SEC Division of Examinations

ArentFox Schiff on

The US Securities and Exchange Commission (SEC) Division of Examinations recently released its 2024 Examinations Priorities, a yearly report that provides insight into the Division’s areas of focus to improve compliance,...more

Eversheds Sutherland (US) LLP

DC Circuit finds negligent but not willful fraud for inadequate disclosures

Eversheds Sutherland (US) LLP on

In a much-anticipated decision, on April 30, 2019, the US Court of Appeals for the District of Columbia Circuit issued its decision in Robare, a case that concerned an investment adviser’s (IA) disclosure of conflicts of...more

Proskauer - Corporate Defense and Disputes

Second Circuit: Intent to Harm Is Not Required for Criminal Conviction Under Investment Advisers Act

Proskauer - Corporate Defense and Disputes on

On May 4, 2016, the U.S. Court of Appeals for the Second Circuit affirmed the fraud conviction of a registered investment adviser and held that proof of intent to harm is not an element of a criminal conviction under section...more

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