Recent SEC Actions Affecting Investment Advisors and the Hedge Fund Industry
In the Matter of Peter J. Dawson
On January 12, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Peter J. Dawson. The Order finds that a final [...]
Posted on January 5, 2009, 5:12 pm, by admin, under
Uncategorized.
The SEC announced that there will be a new regional director for the regulation of broker dealers. The release is reprinted below.
Barbara Lorenzen Named Associate Regional Director For Examinations in SEC’s Chicago Regional Office
The Securities and Exchange Commission today announced the appointment of Barbara Lorenzen as an Associate Regional Director for Examinations in its Chicago [...]