Enforcement | Page 8 of 8 | Fairview Investments

News & Insights: Enforcement

Flash Reports
29 Aug, 2017

Hedge Fund Manager Charged with Misappropriating Investor Funds

On August 11, 2017, the SEC charged a hedge fund manager with misappropriating investor money between different funds he managed. These improper allocations were used to pay for legal and administrative expenses incurred by certain hedge funds during ongoing litigation with the SEC.

Flash Reports
01 Aug, 2017

Dual Registrant Fails to Disclose Conflict of Interest from Revenue Sharing

On July 19, 2017, the SEC charged a dually-registered investment adviser and broker dealer (“Respondent”) for failing to disclose compensation received from a third-party broker-dealer (“Broker”).

Books & Records
17 Jul, 2017

SEC Fines Private Equity Firm for Inaccurate Disclosures

The SEC charged a registered real estate private equity firm with executing a transaction between two funds (“Fund I” and “Fund II”) it advised on different terms than what was disclosed to the Fund I investor advisory committee (“Fund I IAC”).

Enforcement
15 May, 2017

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings

In a review of a FINRA disciplinary action, the SEC affirmed its zero-tolerance policy for general solicitations of specific Regulation D offerings.

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