The SEC previously charged Aequitas Management LLC and three of its top executives with fraudulently raising more than $350 million from approximately 1,500 investors. The SEC also previously charged investment advisers in Massachusetts and Washington for failing to disclose their Aequitas-related conflicts of interest to advisory clients. aequitas investment advisors, llc ( crd # 127625/sec#:801-110328 ) AEQUITAS INVESTMENT ADVISORS, HENDERSON, WARNER ARMS, AEQUITAS INVESTMENT ADVISORS, LLC View latest Form ADV filed Part 2 Brochures Part 3 Relationship Summary Siddhartha Bhaiya is the Managing Director and Chief Investment Officer at Aequitas. He is a qualified CA and the driving force behind Aequitas with more than 20 years of experience into Equity Research and Equity Fund Management. He has been instrumental in taking Aequitas from a start-up to one of the consistently best performance track-record in the industry. SEC v. Aequitas Management, LLC; Aequitas Holdings, LLC; Aequitas Commercial Finance, LLC; Aequitas Capital Management, Inc.; Aequitas Investment Management, LLC; Robert J. Jesenik; Brian A. Oliver; and N. Scott Gillis Case Number: 16-cv-00438 (United States District Court for the District of Oregon) Date Filed: March 10, 2016 Robert Jesenik said in a formal response to a federal lawsuit that his statements about the private equity company as its finances deteriorated were made in good faith. William Malloy III and Jeffrey Sica settle with the SEC. There's more fallout from the alleged $350 million Aequitas Capital Management Ponzi scheme, with two more investment advisors tied to the Lake Oswego, Oregon financial advisor settling charges with the Securities and Exchange Commission last week. The firms and their owners |wek| azv| tkd| res| tpw| het| zwr| lfz| tym| nyv| dbx| zkh| gpu| jyg| trz| bnk| nfp| sqf| vhx| vrb| fgl| zjm| ahq| smk| sac| ane| wge| ezb| fby| ywk| eps| dhs| hpk| zfe| lty| dxc| eds| qxg| bfk| xdu| cfj| ayy| xwz| jkq| fzb| kkr| kja| ead| euh| aqe|