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SEC Investigation of Hedge Fund Manager

Case Title: SEC Investigation of Hedge Fund Manager
Practice Area: Governmental and Regulatory Investigations 
Case Desc:

Successfully represented an investment management firm and its principal in a major investigation conducted by the Securities and Exchange Commission concerning activities governed by the Investment Advisers Act and the Securities Exchange Act of 1934.

No violations were found and no enforcement proceedings were commenced against the firm or its principal.

Attorney(s): Ralph A. Siciliano, Maryann C. Stallone 
Industry: Hedge Funds, Financial Services 
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