Showing posts with label HEDGE FUNDS. Show all posts
Showing posts with label HEDGE FUNDS. Show all posts
Wednesday, May 9, 2018

ALLEGED INFLATION OF PERFORMANCE BY HEDGE FUND ADVISER LEADS TO SEC CHARGES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION Press Release SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund ...
Sunday, April 6, 2014

COURT ORDERS FLORIDA MAN, COMPANY TO PAY $5.7 MILLION FOR ROLES IN COMMODITY POOL PONZI SCHEME

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Federal Court Orders Ward Onsa of Marco Island, Florida and His Company, New Century Investmen...
Friday, September 6, 2013

SEC ALLEGES INVESTMENT ADVISORY FIRM AND ITS PRESIDENT PLAYED FAVORITES WITH CLIENTS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION The Securities and Exchange Commission today announced charges against a San Diego-based in...
Friday, March 8, 2013

SEC FILES INJUCTIVE ACTION RELATED TO FRAUDULENT OFFER OF LIMITED PARTNERSHIP INTESESTS IN TWO HEDGE FUNDS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Advisers to the RAHFCO Hedge Funds with Fraud The Securities and Exchange Co...
Friday, March 1, 2013

SEC CHARGES HEDGE FUND MANAGERS WITH SECURITIES FRAUD

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION SEC Charges Connecticut Hedge Fund Managers With Securities Fraud In February 26, 201...
Friday, December 14, 2012

TRADING SCHEMES COST HEDGE FUNDS AND MANAGER $44 MILLION

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C., Dec. 12, 2012 — The Securities and Exchange Commission today charge...
Monday, November 5, 2012

FORMER SILICON VALLEY EXECUTIVE SETTLES CHARGES WITH SEC

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION Former Silicon Valley Executive to Pay $1.75 Million to Settle Insider Trading Charges...
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...
Sunday, August 5, 2012

INVESTMENT MANAGER AND OTHERS CHARGED BY SEC WITH SECURITIES LAW VIOLATIONS

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FROM: U.S. SECURITIES AND EXCHANGE COMMISSION W ashington, D.C., July 30, 2012 – The Securities and Exchange Commission charged New Yo...
Monday, April 23, 2012

FATHER AND SON HEDGE FUND MANAGERS CHARGED WITH FRAUD

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FROM:  SECURITIES AND EXCHANGE COMMISSION Washington, D.C., April 20, 2012 – The Securities and Exchange Commission today charged a Boston-...
Wednesday, March 28, 2012

SEC CHARGES BAY AREA INVESTMENT ADVISER FOR DEFRAUDING INVESTORS WITH BOGUS AUDIT REPORT

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The following excerpt is from the U.S. Securities and Exchange Commission website: March 21, 2012 On March 15, 2012, the Securities an...
Wednesday, January 18, 2012

BILLION DOLLAR HEDGE FUNDS CHARGED BY SEC WITH INSIDER TRADING

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The following excerlt is from an SEC e-mail: "Washington, D.C., Jan. 18, 2012  – The Securities and Exchange Commission today char...
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Friday, December 2, 2011

SEC FILES INJUCTION AGAINST ILLINOIS MAN AND HIS COMPANY

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The following excerpt is from the SEC website: November 22, 2011 “The Securities and Exchange Commission today announced that on Nove...
Thursday, December 1, 2011

SEC GOES AFTER HEDGE FUNDS AND MANGERS FOR ALLEGED FRAUD AND OTHER ALLEGED CRIMES

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The following excerpt is from the SEC website: “Washington, D.C., Dec. 1, 2011 — As part of an initiative to combat hedge fund fraud ...
Tuesday, November 1, 2011

CIVIL INJUNCTION FILED AGAINST TWO MEN WHO TRIED TO EVADE LIMITS ON PUBLIC OFFERINGS

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October 31, 2011 “The Securities and Exchange Commission today announced the filing of a civil injunctive action against Drake Asset M...
Monday, August 1, 2011

FORMER HEDGE FUND MANAGER TO PAY $1 MILLION PENALTY

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The following case is an excerpt from the CFTC website: “Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today i...
Sunday, July 10, 2011

$230 MILLION RETURNED TO U.S. WHILE PONZI SCHEME INVESTIGATED

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The following excerpt comes from the SEC website: "Washington, D.C., June 28, 2011 — The Securities and Exchange Commission tod...
Sunday, April 24, 2011

SEC CHARGES HEDGE FUND MANAGERS WITH DEFRAUDING CLIENTS

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The following case brought by the SEC against two hedge fund managers alleges a “scheme” to defraud clients. Pleas read the following excer...
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Thursday, February 10, 2011

MORE ALLEGED INSIDER TRAIDNG

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Many people are still afraid of investing in the equities markets. It seems that many people believe that the securities market is really j...