Ranieri Partners

News & Analysis as of

SEC Focus on Unregistered Broker-Dealers – Implications for Regulated Entities

In March, the Securities and Exchange Commission (SEC) announced administrative sanctions against Ranieri Partners LLC, which controls two private equity funds, as well as a former executive of Ranieri and a third-party...more

"SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers"

On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s Division of Trading and Markets, addressed the American Bar Association’s Trading and Markets Subcommittee.1 Mr. Blass’ remarks...more

Recent SEC Actions Focus on Broker-Dealer Activity of Private Funds, Highlight Perils, and Generate Controversy

A recent public statement by a member of the senior staff (“Staff”) of the Securities and Exchange Commission (“SEC”) and recent SEC enforcement actions have reminded private equity and other private fund managers (such as...more

SEC Ramps Up Its Private Equity Parade

Bruce Karpati, chief of the SEC’s Asset Management Unit, promised us several weeks ago that enforcement actions against private equity firms were about to heat up. He wasn’t kidding. Last Monday, the SEC filed two sets of...more

SEC Charges Asset Manager for Finder’s Broker-Dealer Registration Failure

On March 11, the SEC announced an unusual and technical enforcement case against a major asset management firm for paying finders’ fees to a consultant solicitor who was not registered as a broker-dealer. Specifically, the...more

SEC Settles Cases Alleging Compliance Failures at Private Equity Firms

On March 11, the SEC announced two matters of significant importance to the private equity industry and to private fund sponsors generally. Together, these cases demonstrate the SEC’s continued focus on the private equity...more

SEC Charges Private Equity Group For Using Unregistered Broker

The SEC has announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, and an unregistered broker who violated securities laws when soliciting more than $500 million in capital...more

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