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Hedge Funds Investment Adviser Sanctions

Dorsey & Whitney LLP

SEC Sanctions Adviser, and its CEO, GC and Auditor Based on Conflicts

Dorsey & Whitney LLP on

Conflicts of interest are a central focus for the SEC. Indeed, conflicts are at the core of many of the actions brought against regulated entities. And, an undisclosed conflict was at the center of actions brought against a...more

Goodwin

SEC Settles Administrative Proceedings Against CDO Sponsor and Collateral Manager Over Influence of Hedge Fund Firm on Collateral...

Goodwin on

The SEC settled public administrative proceedings against Merrill, Lynch, Pierce, Fenner & Smith Inc. (the “Sponsor”) relating to the structuring and marketing of three collateralized debt obligations (“CDOs”) and separately...more

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