Cynthia Krus

Eversheds Sutherland (US) LLP

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Latest Posts › Enforcement Actions

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SEC fines BDC investment adviser for misallocation of expenses and valuation failures

On December 3, 2018, the Securities and Exchange Commission (the SEC) entered an order (the Order) to settle charges arising out of an enforcement action against Fifth Street Management, LLC (FSM). FSM disclosed in March 2016...more

12/12/2018 / Business Development Companies , Enforcement Actions , Hedge Funds , Investment Adviser , Investment Management , Misallocation of Funds , Non-Public Information , OCIE , Securities and Exchange Commission (SEC) , Valuation

SEC Launches First Whistleblower Retaliation Case Under Dodd-Frank

On June 16, 2014, the U.S. Securities and Exchange Commission (SEC) initiated and resolved its first case charging an employer with unlawfully retaliating against a securities whistleblower under the Dodd-Frank Wall Street...more

6/23/2014 / Anti-Retaliation Provisions , Dodd-Frank , Employer Liability Issues , Enforcement Actions , Securities and Exchange Commission (SEC) , Whistleblower Protection Enhancement Act , Whistleblowers

SEC Issues $875,000 Whistleblower Award

On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more

6/10/2014 / Dodd-Frank , Enforcement , Enforcement Actions , Securities and Exchange Commission (SEC) , Whistleblower Awards , Whistleblowers

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