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Tag Archives: Investment Advisers Act
SEC Charges Investment Adviser Umesh Tandon with Defrauding CalPERS
In the Matter of Umesh Tandon, SEC Admin. Proc. No. 3-15282. On April 18, 2013, the SEC announced it filed a settled administrative proceeding against Umesh Tandon. According to the SEC Order, Tandon told CalPERS that his advisery firm Simran … Continue reading
SEC Obtains Asset Freeze Against Investment Adviser Gregg Caplitz Charged with Stealing Client Money
SEC v. Gregg D. Caplitz, et al., Case No. 1:13-cv-10612 MLW (D. Mass.). On March 18, 2013, the SEC announced it obtained an asset freeze against investment adviser Gregg D. Caplitz. The SEC alleges that Caplitz and Insight Onsite Strategic … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Adviser Randall Hansen with Fraud
SEC v. Randal Kent Hansen, et al., Case No. 13-cv-01403 (S.D.N.Y.). On March 4, 2013, the SEC announced fraud charges related to two hedge funds — RAHFCO Funds LP and RAHFCO Growth Fund LP (the “RAHFCO Hedge Funds”). The SEC charged RAHFCO Management Group, … Continue reading
Posted in Securities
Tagged Broker-Dealer, Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges San Francisco-Bay Area Real Estate Fund Managers Walter Ng, Kelly Ng and Bruce Horwitz with Fraud
SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC, Case No. C 13-0895 NC (N.D. Cal.). On February 28, 2013, the SEC announced fraud charges against Bay Area real estate fund managers Walter Ng, his son … Continue reading
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Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Managers David Bryson and Bart Gutekunst with Fraud
SEC v. New Stream Capital, LLC, New Stream Capital (Cayman), Ltd., David A. Bryson, Bart C. Gutekunst, Richard Pereira, and Tara Bryson, et al., Case No. 3:13-cv-00264 (D. Conn.). On February 26, 2013, the SEC announced fraud charges against hedge … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, Securities Act, Securities Exchange Act
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SEC Sues Fund Manager George Price in Scheme Involving Risky Mortgage-Related Investments
SEC v. ABS Manager, LLC, et al., Case No. 13 CV 0319 PC JMA (S.D. Cal.). On February 20, 2013, the SEC announced fraud charges against George Charles Cody Price. Price raised $18 million for three investment funds through his firm ABS … Continue reading
SEC Sues Investment Advisor Desla U. Thomas in Investment Scheme
SEC v. Desla U. Thomas, et al., Case No. 3:13-cv-00739-L (N.D. Tex.). On February 15, 2013, the SEC announced fraud charges against investment adviser Delsa U. Thomas, The D. Christopher Capital Group, LLC (“DCCMG”), and The Solomon Fund LP. The SEC’s complaint … Continue reading
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Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Settles Cherry-Picking Case against Hedge Fund Manager Howard Berger
SEC v. Howard Brett Berger and Michelle Berger, Case No. CV-12-4728 (E.D.N.Y.). On February 12, 2013, the SEC announced it settled an enforcement action brought in September 2012. The SEC alleged Howard Berger (“Berger”) was a founder and manager of … Continue reading
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Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Exchange Act
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SEC Announces that Investment Adviser Timothy Roth Was Sentenced to 12 Years in Parallel Criminal Case
SEC v. Timothy J. Roth, et al, Case No. 11-cv-02079 (C.D. Ill.). On February 5, 2013, the SEC announced that a federal judge sentenced Timothy J. Roth to 151 months in prison and ordered him to pay $16,151,964 in restitution … Continue reading
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Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Investment Advisory Firms and Portfolio Managers For Collapse of Mutual Fund
In the Matter of Claymore Advisors, LLC, Admin. Proc. File No. 3-15139; In the Matter of Mohamed Riad and Kevin Timothy Swanson, Admin. Proc. File No. 3-15141; In the Matter of Fiduciary Asset Management, LLC, Admin. Proc. File No. 3-15140. … Continue reading
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Tagged Fraud, Investment Advisers Act, Investment Company Act, SEC, Securities Exchange Act
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Securities Enforcement Blog 