Egerton Investment Partners Fined by Securities Regulator

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The State of New Hampshire, Bureau of Securities recently entered into a consent order with Egerton Investment Partners. Here are the details: The state alleges that Egerton Investment Partners, LP first began making sales of securities within the state on March 31, 2018. In June 2020, the fund discovered that it did not report the […]

Shem Creek Capital Fund V Enters Consent Order


On May 21, 2021, Shem Creek Capital Fund entered into a consent order with the State of New Hampshire. According to the consent order, Shem Creek Capital Fund began selling securities to New Hampshire residents without first filing a notice of exemption. Sales of Shem Creek Capital Fund were first made on October 30, 2019 […]

Ameriprise Rep. Michael Clark Fined By NH Insurance Department

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The State of New Hampshire recently announced that Ameriprise advisor Michael Clark (CRD#: 2580455) was fined. According to his BrokerCheck report, accessed on November 12, 2021, Michael Clark’s insurance licenses were also revoked from the States of New York and California. Here is a copy of the order from New Hampshire: Do You Have Concerns with […]