Skip to content

Compliance Building

Doug Cornelius on compliance for private equity real estate

  • Home
  • About
    • About
    • About Doug
    • About This Website
    • Why I Blog
    • Speaking Engagements
    • Contact
    • Publications
  • Archives
    • Topic Archive
    • Book Reviews
    • Most Popular
  • Subscribe
  • Disclaimers
    • Disclaimers
    • Policies and Procedures
    • Use of Site Content
    • Comments
    • FTC Disclosure

Tag: Berger

Cherry Picking Trades

Doug Cornelius February 14, 2013February 14, 2013 Fraud   [+]

A recent SEC action shows you exactly how to NOT allocate trades. The SEC brought charges against Howard Berger for not allocating trades until the end of the trading day. Berger would routinely allocate the profitable trades to his wife’s account and the unprofitable trades to his private investment fund account. Since Berger would usually … Read more »

Search for Stuff

Recent Stories

  • Shuffling Silver at Silverback
  • SEC Has a Setback on Disclosure Case
  • The SEC’s New Love of Stablecoins
  • FinCEN Broadly Reinterprets the CTA Beneficial Ownership Reporting Requirements
  • The SEC Reverses its Position on Extracted Performance
  • Do Investment Advisers Have a Duty to Non-clients?
  • Tweaking the Accredited Investor Standard
  • The One with Concentration
  • Another Loss by the Corporate Transparency Act
  • The Death of the Corporate Transparency Act

Fight Cancer

Please support my Pan Mass Challenge to fight cancer.
Powered by WordPress & Undedicated theme by ReduxThemes.com.