Tag: advisers

Undisclosed conflicts of interest have been a key focus of OCIE exams of investment advisers. Those undisclosed conflicts have resulted in a series of enforcement actions against advisers. The Commission’s most recent case involving an adviser who failed to disclose …

Legal Advice Not Enough for Adviser to Avoid SEC Sanctions Read More »

Tagged with: , ,

The Commission brought an action against a hedge fund operator who had previously been barred from the securities business and his son. The case centers on undisclosed conflicts and preferential withdrawal rights for the two individual defendants. SEC v. Conrad, …

Barred Securities Professional Charged By SEC Read More »

Tagged with: , , ,