Michael L. Sherman

Michael L. Sherman

Dechert LLP

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SEC Issues Settled Enforcement Action Against Investment Adviser, its President and Senior Officers for Compliance Program...

The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order (Order) on June 23, 2015, against Pekin Singer Strauss Asset Management Inc. (Adviser), an investment adviser registered under...more

8/6/2015 - Asset Management CCO Cease and Desist Orders Chief Compliance Officers Compliance Corporate Officers Enforcement Actions Ethics Fraud Investment Adviser Investment Advisers Act of 1940 Investment Funds Policy Violations Portfolio Managers SEC Shareholders Tone At The Top

Head of Asset Management Unit at SEC Enforcement Shares Hedge Fund Enforcement Priorities

In a recent speech, Bruce Karpati, Chief of the Asset Management Unit (AMU)within the Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC), discussed his view of the current enforcement...more

12/27/2012 - Asset Management Enforcement Fiduciary Duty Hedge Funds Marketing Pensions Retail Market SEC

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