Regulation
Florida Fund Administrator Settles SEC Charges Over Missing ‘Red Flags’
Theorem Fund Services allegedly misappropriated and misused investors’ funds.
Tag: Adviser
Newsmakers
Adviser Gets 5 Years in Prison for Embezzlement, Murder Threat
Gregg Brie threatened to kill a disabled client when he asked for his money.
Manager Selection
UN Pension Fund Seeks Adviser to Suggest Board Changes
Fund is asking for a wide range of ideas on structural changes to its oversight.
Real Estate Advisory Firm, Execs Pay over $60 Million to Settle SEC Charges
SEC alleges firm wrongfully inflated incentive fees for two mergers.