The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs… Full report at: Read More

The Securities and Exchange Commission today charged Energy Innovation Capital Management, LLC (EIC), a California-based exempt reporting adviser, with charging excess management fees from two venture capital funds. EIC has returned $678,681 plus… Full report at: Read More

SEC Charges Former Rail Freight Trader with Accounting Fraud Read the full report at Read More

SEC Charges Archer Capital Management Group, the Archer Growth Fund and Related Entities with Defrauding Investors Read the full report at Read More

SEC Files Subpoena Enforcement Action Against Two Principals of Broadway Musical Fund Read the full report at Read More

SEC Files Subpoena Enforcement Action Against South Florida Man, His Sister and Their Companies Read the full report at Read More

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients Out of More Than $75 Million Read the full report at Read More

SEC Files Subpoena Enforcement Action Against Issuer for Failure to Produce Documents Read the full report at Read More

The Securities and Exchange Commission today charged two North Carolina-based executives, Gregory E. Lindberg and Christopher Herwig, and their Malta-based registered investment adviser, Standard Advisory Services Limited, for defrauding clients out of… Full report at: Read More

SEC Charges Hedge Fund Portfolio Manager with Fraud Read the full report at Read More