Joshua A. Newville

Oct 23, 2024 | mondaq.com | Frank Zarb |Louis Rambo |Joshua A. Newville |Robert Pommer

Following its adoption almost one year ago of amended rules accelerating filing deadlines for Schedules 13G and 13D (and the imminent effectiveness of the new deadlines for 13Gs), the SEC has continued to bring enforcement cases focusing on the timing of initial filings, amendments, and transitions from Schedule 13G to 13D, as well as Section 16 filings.

Jun 26, 2024 | mondaq.com | Robert Pommer |Joshua A. Newville |Robert Sutton

On June 14, 2024, the SEC announced an enforcement action settlement with a Pennsylvania-based hedge fund manager for violating the Marketing Rule under the Investment Advisers Act. The SEC found that the adviser had misled investors by advertising a hedge fund's investment performance based on the investment performance of a single investor in the fund.

Aug 8, 2023 | dockets.justia.com | Joshua A. Newville

Roufs, Timothy v.