Marissa Smith

Marissa Smith

Bracewell & Giuliani LLP

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Latest Publications


Lincolnshire Pays $2.3 Million to Settle SEC Charges of Misallocation of Portfolio Company Expenses

On September 22, 2014, New York-based private equity firm Lincolnshire Management, Inc. (Lincolnshire) agreed to pay $2.3 million to settle Securities and Exchange Commission (SEC) allegations that Lincolnshire misallocated...more

10/3/2014 - Disgorgement Enforcement Actions Investment Advisers Act of 1940 Misallocation of Funds Prejudgment Interest Private Equity Funds SEC

SEC Establishes Cybersecurity Initiative for Broker-Dealers and Investment Advisers

On April 15, 2014, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released a National Exam Priority Risk Alert announcing its initiative to evaluate cybersecurity...more

5/26/2014 - Broker-Dealer Compliance Cybersecurity Investment Adviser NEP OCIE Risk Alert SEC

Distress in the Defense Industry: Opportunities and Obstacles

The U.S. defense industry is facing a new battle – financial distress. Withdrawal of U.S. forces from Afghanistan and Iraq combined with reductions in the defense budget and sequestration have taken a toll on many U.S....more

4/25/2014 - Aerospace Defense Contracts DOD Middle East

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