SEC Names Caryn E. Kauffman as Chief Financial Officer

The Securities and Exchange Commission today announced that Caryn E. Kauffman has been named the agency’s Chief Financial Officer (CFO). Ms. Kauffman has served as Acting CFO since February 2017.  The CFO plays a key role in making sure SEC resources a…

SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance

The Securities and Exchange Commission today announced that it has charged New York-based investment adviser Premium Point Investments LP with inflating the value of private funds it advised by hundreds of millions of dollars.  The SEC also charged Pre…

SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District

The Securities and Exchange Commission today announced it charged a registered municipal advisor and its owner with defrauding a south Texas school district in connection with multiple municipal bond offerings. 

The SEC’s order instituting proceeding…

SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance

The Securities and Exchange Commission today announced that it has charged New York-based investment adviser Premium Point Investments LP with inflating the value of private funds it advised by hundreds of millions of dollars.  The SEC also charged Pre…

SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District

The Securities and Exchange Commission today announced it charged a registered municipal advisor and its owner with defrauding a south Texas school district in connection with multiple municipal bond offerings. 

The SEC’s order instituting proceeding…

Hedge Fund Firm Charged for Asset Mismarking and Insider Trading

The Securities and Exchange Commission today announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle charges related to asset mismarking and insider trading by its privately managed hedge funds and portfolio managers.  Se…

Hedge Fund Firm Charged for Asset Mismarking and Insider Trading

The Securities and Exchange Commission today announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle charges related to asset mismarking and insider trading by its privately managed hedge funds and portfolio managers.  Se…

SEC Names Jessica Kane Director of Office of Credit Ratings

The Securities and Exchange Commission today announced that Jessica Kane has been named the Director of the agency’s Office of Credit Ratings, where she has served as Acting Director since September 2017.
The Office of Credit Ratings is responsible for…

SEC Names Jessica Kane Director of Office of Credit Ratings

The Securities and Exchange Commission today announced that Jessica Kane has been named the Director of the agency’s Office of Credit Ratings, where she has served as Acting Director since September 2017.
The Office of Credit Ratings is responsible for…

Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service

The Securities and Exchange Commission today announced that Diane C. Blizzard, Associate Director of the agency’s Division of Investment Management, is planning to leave the agency at the end of May after 18 years of service.

Since 2012, Ms. Blizzard …

Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service

The Securities and Exchange Commission today announced that Diane C. Blizzard, Associate Director of the agency’s Division of Investment Management, is planning to leave the agency at the end of May after 18 years of service.

Since 2012, Ms. Blizzard …

SEC Launches Additional Investor Protection Search Tool

The Securities and Exchange Commission today announced the launch of an additional online search feature that enables investors to research whether the person trying to sell them investments has a judgment or order entered against them in an enforcemen…