Daniel Baich

Daniel Baich

Dorsey & Whitney LLP

Contact
View Bio
RSS

Latest Posts › Enforcement Actions

Share:

SEC acts against Private Equity Firm for Acting as an Unregistered Broker

On June 1, 2016, the SEC issued a press release that announced a Maryland-based private equity fund advisory firm and its owner have agreed to pay more than $3.1 million to settle charges that they engaged in brokerage...more

6/21/2016  /  Broker-Dealer , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Advisers Act of 1940 , Private Equity Funds , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Exchange Act , Unregistered Brokers
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide