{"id":1166,"date":"2012-12-10T17:31:09","date_gmt":"2012-12-10T17:31:09","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2012\/12\/investment_advisor_securities"},"modified":"2022-03-09T16:32:12","modified_gmt":"2022-03-09T22:32:12","slug":"investment-advisor-securities","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/investment-advisor-securities\/","title":{"rendered":"Investment Advisor Securities Roundup: Two Firms Settle SEC Claims That They Impeded with Examinations, FINRA Defends SRO Model, IA Allegedly Duped Private Equity Investors, & CDO Misrepresentation Accusations Against GSCP Executive Are Dismissed"},"content":{"rendered":"

\t\t\t\tInvestment advisory firms EM Capital Management and Barthelemy Group have settled SEC administrative charges that they got in the way of Commission staff examinations. Both cases were settled without the parties involved denying or admitting to the allegations.<\/p>\n

According to the SEC, Barthelemy Group and Evens Barthelemy allegedly misled examiners by inflating claimed assets under management to make it appear as if the firm qualified for SEC legislation. To settle the claims, Barthelemy has consented to a securities industry bar. He can reapply for admission again in two years. His firm consented to a censure. <\/p>\n

As for the proceedings against Em Capital Management and Freeman, they allegedly waited a year and a half to produce the records and books for the firm’s mutual fund advisory business. Both have consented to pay a $20,000 penalty and be censured. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Investment advisory firms EM Capital Management and Barthelemy Group have settled SEC administrative charges that they got in the way of Commission staff examinations. Both cases were settled without the parties involved denying or admitting to the allegations. According to the SEC, Barthelemy Group and Evens Barthelemy allegedly misled examiners by inflating claimed assets under […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3742,3739,3781,3741],"tags":[],"class_list":["post-1166","post","type-post","status-publish","format-standard","hentry","category-collateralized-debt-obligation","category-finra","category-investment-advisers","category-securities-fraud"],"yoast_head":"\nInvestment Advisor Securities Roundup: Two Firms Settle SEC Claims That They Impeded with Examinations, FINRA Defends SRO Model, IA Allegedly Duped Private Equity Investors, & CDO Misrepresentation Accusations Against GSCP Executive Are Dismissed — Investor Lawyers Blog — December 10, 2012<\/title>\n<meta name=\"description\" content=\"Investment advisory firms EM Capital Management 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