Showing posts with label HEDGE FUND. Show all posts
Showing posts with label HEDGE FUND. Show all posts
Sunday, August 21, 2016

SEC ANNOUNCES FRAUD CHARGES AGAINST HEDGE FUND INVOLVED WITH TERMINALLY ILL PATIENTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Press Release PrintFacebookTwitterEmailShare Hedge Fund Manager Charged in Scheme Inv...
Sunday, July 5, 2015

SEC CHARGES INVESTMENT ADVISORY FIRM, OWNERS WITH INFLATING SECURITIES' PRICES IN HEDGE FUND

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  07/01/2015 10:30 AM EDT The Securities and Exchange Commission charged a Greenwich, Con...
Sunday, March 16, 2014

SEC CHARGES FORMER ANALYST OF INSIDER TRADING

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FROM:  SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today charged a former analyst at an affiliate of hedge ...
Saturday, March 15, 2014

SEC-HEDGE FUND SETTLES FRAUDULENT OFFER TO BUY WINNEBAGO INDUSTRIES COMMON STOCK

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FROM:  SECURITIES AND EXCHANGE COMMISSION  SEC Files Settled Securities Fraud Charges Against Alexander H.G. Mascioli and His Purported Hed...
Monday, February 3, 2014

HEDGE FUND MANAGER, COMPANY RECEIVE FINAL JUDGEMENT IN MISAPPROPRIATION CASE

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Final Judgments Entered Against Former Hedge Fund Manager and His Company The Securities and E...
Sunday, January 26, 2014

FINAL JUDGEMENT ENTERED AGAINST HEDGE FUND MANAGER

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FROM:  SECURITIES AND EXCHANGE COMMISSION  Final Judgments Entered Against Former Hedge Fund Manager and His Company The Securities and E...
Monday, September 30, 2013

HEDGE FUND ADVISER CHARGED WITH BREACHING FIDUCIARY DUTY FOR ROLE IN CONFLICTED PERSONAL TRANSACTION

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges N.Y.-Based Hedge Fund Adviser With Breaching Fiduciary Duty By Participating in...
Tuesday, August 13, 2013

SEC OBTAINS EMERGENCY COURT ORDER TO STOP HEDGE FUND FROM DEFRAUDING MILITARY PERSONNEL

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Halts Ex-Marine’s Hedge Fund Fraud Targeting Fellow Military Washington D.C., Aug. 6, ...
Sunday, August 4, 2013

SEC CHARGES FORMER PORTFOLIO MANAGER WITH INSIDER TRADING

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Charges Former Portfolio Manager At S.A.C. Capital with Insider Trading On July 25, 2...
Tuesday, May 7, 2013

COURT ORDERS HEDGE FUND MANAGER AND ADVISORY FIRMS TO PAY MORE THAN $26 MILLION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Court Orders Former Hedge Fund Manager Gad Grieve and Firm to Pay Over $26 Million in ...
Monday, September 24, 2012

SEC CHARGES INVESTMENT ADVISER OF RUNNING $37 MILLION PONZI SCHEME

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today filed fraud charges against a Portland, ...
Wednesday, June 27, 2012

BAY AREA HEDGE FUND MANAGER IN CIVIL CONTEMPT FOR FAILING TO PAY MORE THAN $12 MILLION IN DISGORGEMENT

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION COURT FINDS BAY AREA HEDGE FUND MANAGER IN CIVIL CONTEMPT FOR FAILING TO PAY MORE THAN $12 M...