Global private equity and venture capital news and research

Posts Tagged ‘Securities and Exchange Commission’

25 August 2016

WL Ross & Co lands $2.3m fine from SEC

gavel-2-1409592-m Private equity firm WL Ross & Co has reached a settlement with the Securities and Exchange Commission over its disclosure of fees.

11 May 2016

Former SEC enforcement lawyer to join Blackstone

old-brown-suitcase-2-1049630-m Former SEC senior executive Marshall Sprung is reportedly about to join US asset management group Blackstone.

26 April 2016

Patriarch Partners faced with new lawsuit by the Zohar funds

courtroom-898931_640 New York-based private equity firm Patriarch Partners, headed by investor Lynn Tilton, is facing a new lawsuit by the Zohar funds, formerly under Tilton’s management.  The new fund manager, Alvarez & Marsal, filed a suit with Delaware’s Court of Chancery last Friday, alleging they have been refused access to financial records. This latest filing adds to a[...]

8 October 2015

Blackstone to pay $39m to settle SEC charges

gavel-952313-m US private equity giant Blackstone Group will pay $39m to settle Securities and Exchange Commission charges over fees, AltAssets.

22 July 2015

State treasurers to pressure SEC for more PE transparency

money-wallet-291317-m A coalition of state treasurers and elected officials are reportedly set to put pressure on the SEC to push for greater transparency and fee disclosures from private equity managers, AltAssets understands.

12 May 2015

Patriarch’s Tilton asks for judge to reject SEC fraud case

gavel-952313-m Lynn Tilton, the head of private equity firm Patriarch Partners, has reportedly pleaded with a US judge to block the SEC from trying her for defrauding investors.

22 January 2015

KKR partially refunds fees following SEC scrutiny

money-in-hand-1037536-m Global private equity major KKR has reportedly returned some fees to its LPs after the US securities regulator found the firm had overcharged its investors.

31 January 2014

SEC charges New York fund manager over $9m private equity ‘slush fund’

The US Securities and Exchange Commission has charged a Manhattan-based private equity manager and his firm with stealing $9m from investors in their private equity fund.

Legals & Terms of UsePrivacy Policy

AltAssets is registered as a trademark of Investor Networks Limited (06695690).
Registered Office: WeWork 4001, 1 Fore Street, London, EC2Y 5EJ
Content is © AltAssets 2000-2016