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August 2016 Archives

Internal Control Gaps at Apollo Advisers

stock screen_blueEarlier this week, four private fund advisers affiliated with Apollo Global Management agreed to a $52.7 million settlement.  During an investigation by the SEC, the advisers were found to have misled fund investors about fees and a loan agreement, as well as failed to supervise a senior partner who charged personal expenses to the fund.

The SEC Halts Securities Fraud Scheme

SECpicEarlier this week, the SEC won a court-ordered asset freeze of two former brokers, James Brennan III and Douglas Dyer, and their company Broad Street Ventures. The former brokers, both of whom have disciplinary histories with FINRA and state regulators, allegedly raised more than $5 million from investors by selling purported shares in eight similarly named companies.
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