Vermittlungsaktivitäten von US-Anwälten, die darauf abzielen, Investoren mit öffentlichen Fonds zum Zwecke eines Investments zusammenzubringen, müssen eine entsprechende Broker Lizenz besitzen, sonst droht Strafe. Hier der aktuelle Sachverhalt und die Vereinbarung zwischen dem New Yorker Attorney General und der Anwaltskanzlei, gegen welche ermittelt wurde: Manatt_AOD_ExecutedThe investigation showed that Manatt made introductions and secured meetings on behalf of firms seeking investments from public pension funds in New York, California, and elsewhere. Neither Manatt, nor any of the Manatt partners who made the introductions, were licensed placement agents or securities brokers under state and federal law. In New York, Manatt made and attempted to make introductions to the New York State Common Retirement Fund (“state pension fund”), the New York City pension funds, and the New York State Teachers Retirement System. The state pension fund is the biggest pool of money in the state and the third largest pension fund in the country, most recently valued at approximately $124.8 billion. Manatt received fees for successfully placing one investment with the California Public Employees’ Retirement System (“CalPERS”). Its other efforts failed.
“Unlicensed agents are untrained, unsupervised, and typically traffic in political and personal connections to get access to public money. We have seen all varieties of this risky behavior, and now it includes a prominent national law firm,” said Attorney General Cuomo. “We will continue to protect the integrity of public pension funds, which are supported by New York taxpayers.”