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Fraud › Collateralized Loan Obligations

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Proskauer Rose LLP

SEC Enforcement Action Underscores Need for MNPI Policies in CLO Trading

Proskauer Rose LLP on

In a significant enforcement action, the SEC sanctioned a private fund manager for failing to establish and maintain adequate policies and procedures to prevent the misuse of material nonpublic information (MNPI) while...more

Dorsey & Whitney LLP

SEC Files Another Offering Fraud Case

Dorsey & Whitney LLP on

Offering fraud has long been a staple of SEC enforcement. SEC v. Baldwin, Civil Action No. 2:15-cv-00458 (D. UT. Filed June 25, 2015) is one such action, centered on the acquisition of two defaulted loans, collateralized by...more

Dorsey & Whitney LLP

Star Investment Manager, Advisers Charged With Fraud by SEC

Dorsey & Whitney LLP on

The SEC issued an Order which charged investment manager Lynn Tilton, known as the Diva of Distressed Debt according to news reports, and her entities with fraud. Specifically, the Order Instituting Proceedings issued by the...more

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