June 03, 2016
The U.S. Securities and Exchange Commission asked a Massachusetts federal judge on Friday to approve a $10 million settlement between the agency and an investment adviser and his firm, which were accused of misappropriating investments and concealing conflicts of interest.
September 29, 2015
The U.S. Securities and Exchange Commission accused a Massachusetts investment adviser and his firm of misappropriating investments from a hedge fund and individual clients and concealing conflicts of interest, according to a complaint filed Monday in federal court.