William M. Regan

William M. Regan

Katten Muchin Rosenman LLP

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SEC Brings Lawsuit Against Hedge Fund Manager for Defrauding Investors

On April 4, the Securities and Exchange Commission filed a complaint against Matthew D. Sample, founder of hedge fund Lobo Volatility Fund, LLC, for fraudulently raising approximately $1 million from five investors. According...more

4/23/2014 - Fraud Hedge Funds SEC Securities Fraud

Corporate and Financial Weekly Digest - Volume IX, Issue 16

In this issue: - US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule - FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements - SEC Issues FAQs...more

4/21/2014 - Broker-Dealer CME Conflict Mineral Rules Expungement FINRA Fraud Hedge Funds SEC

Head of SEC Enforcement Division's Asset Management Unit Addresses Hedge Fund Enforcement Priorities

Bruce Karpati, Chief of the Securities Exchange Commission Enforcement Division’s Asset Management Unit (AMU), spoke before the Regulatory Compliance Association earlier this week to address the AMU’s current enforcement...more

12/28/2012 - Asset Management Hedge Funds SEC

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