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SEC Charges Connecticut Investment Adviser with Running a Ponzi Scheme
7 Mar 2011, 1:30 pm by Securites Lawprof
-based investment adviser, and his firm MK Capital Management LLC, to additionally charge them with engaging in a multi-year Ponzi scheme involving hundreds of millions of dollars. [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
Michael Kenwood Capital Management, LLC Principal Pleads Guilty to Securities Fraud Involving Ponzi Scam
17 Mar 2011, 7:10 pm
Meantime, the SEC says it has amended its civil complaint against Illaramendi and MK Capital Management, LLC. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
What’s New at the SEC in March
30 Mar 2011, 7:00 am by Kara OBrien
More on Pay-to-Play In recent editions to our Legal News: Investment Management Update, we summarized the new SEC pay-to-play rule (Rule 206(4)-5 or the Rule), which required compliance (starting on March 14, 2011) by registered and exempt investment advisers under the Investment Advisers Act of 1940. [read post]
Securities Law Practice Center - http://seclawcenter.pli.edu