Showing posts with label HEDGE FUND MANAGER. Show all posts
Showing posts with label HEDGE FUND MANAGER. Show all posts
Friday, February 20, 2015

HEDGE FUND MANAGER HAS EMERGENCY ENFORCEMENT ACTION FILED AGAINST HIM BY SEC

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Litigation Release No. 23197 / February 13, 2015 Securities and Exchange Commission v. Mozzam "Mark" Malik and American Bridge In...
Saturday, January 31, 2015

HEDGE FUND MANAGER RECEIVES 13 YEAR PRISON TERM FOR FRAUD

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23185 / January 30, 2015 Securities and Exchange Commission v. Fr...
Saturday, October 25, 2014

SEC ANNOUNCES SETTLEMENT WITH BROTHER OF RAJ RAJARATNAM

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today announced that former hedge fund manager Raj...
Monday, September 22, 2014

SEC CHARGES FORMER HEDGE FUND MANAGER WITH TAKING EXCESSIVE FEES TO REMODEL HOME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission announced charges against a former hedge fund mana...
Friday, October 4, 2013

SEC SETTLES WITH HEDGE FUND MANAGER IN PONZI SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Settles Action Against Oregon-Based Hedge Fund Manager Yusaf Jawed, Who Masterminded a ...
Wednesday, July 17, 2013

SEC OBTAINS $13.9 MILLION PENALTY AGAINST FORMER GOLDMAN SACHS BOARD MEMBER

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Washington, D.C., July 17, 2013 — The Securities and Exchange Commission today obtained a ...
Monday, June 24, 2013

HEDGE FUND MANAGER FOUND GUILTY OF SECURITIES FRAUD

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FROM: SECURITIES AND EXCHANGE COMMISSION Hedge Fund Manager James Fry, Previously Sued by the SEC for Fraud, Found Guilty of Secur...
Friday, September 7, 2012

MAN CHARGED WITH GIVING INSIDER INFORMATION TO HEDGE FUND MANAGER

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FROM: U.S. SECURITITES AND EXCHANGE COMMISSION Washington, D.C., September 4, 2012 - The Securities and Exchange Commission today ...
Friday, August 31, 2012

MANAGER OF HEDGE FUNDS CHARGED WITH MAKING MISREPRESENTATIONS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Former Sky Bell Hedge Fund Manager With Making Misrepresentations In Sellin...