Hedge Fund News From HedgeCo.Net


SEC Awards Nearly $1 Million to Whistleblower

(HedgeCo.Net) The Securities and Exchange Commission today announced an award of more than $900,000 to a whistleblower whose tip enabled the SEC to bring multiple enforcement actions against wrongdoers. “With the issuance of this second award in less than one […]

Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies

(HedgeCo.Net) The Securities and Exchange Commission today announced that a San Francisco-based firm agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold online to shareholders in pre-IPO companies. […]

Firm Settles Charges for Selling Unregistered Swaps Involving Pre-IPO Companies

(HedgeCo.Net) The Securities and Exchange Commission today announced that a San Francisco-based firm agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold online to shareholders in pre-IPO companies. […]

BTIG Announces Blackstone Tactical Opportunities Strategic Investment

(HedgeCo.Net) BTIG, LLC announced today that it has signed a definitive agreement to receive a strategic investment from funds managed by Blackstone Tactical Opportunities. BTIG plans to leverage this investment to further expand its capabilities and accelerate the firm’s global […]

SEC Awards $3.5 Million to Whistleblower

(HedgeCo.Net)— The Securities and Exchange Commission today announced that a whistleblower has been awarded approximately $3.5 million for coming forward with information that led to an SEC enforcement action. “Whistleblowers do a tremendous service to the investing public and we […]

United Airlines Settles Charges in Case of Flight Route to Benefit Public Official

(HedgeCo.Net) The Securities and Exchange Commission today announced that the parent company of United Airlines has agreed to pay $2.4 million to settle charges in a case where shareholders wound up footing the bill so a public official could get […]

PIMCO settles for $20 million after misleading investors

(HedgeCo.Net) The Securities and Exchange Commission today announced that investment management firm Pacific Investment Management Company (PIMCO) agreed to retain an independent compliance consultant and pay nearly $20 million to settle charges that it misled investors about the performance of […]

SEC Votes to Renew Equity Market Structure Advisory Committee

(HedgeCo.Net) The Securities and Exchange Commission today announced that the Commission voted to renew the Equity Market Structure Advisory Committee’s charter until August 2017 with the current membership. The committee’s charter was originally scheduled to expire in February 2017. The […]

Chief Accountant James Schnurr to Leave SEC

(HedgeCo.Net) The Securities and Exchange Commission today announced that Chief Accountant James Schnurr intends to retire from the agency. Mr. Schnurr began his tenure as the SEC’s chief accountant in October 2014. During his tenure, Mr. Schnurr was committed to […]

SEC Names Wesley R. Bricker as Chief Accountant

(HedgeCo.Net) The Securities and Exchange Commission has announced that Wesley R. Bricker will become the Chief Accountant and succeeds James Schnurr who plans to retire from the agency. Mr. Bricker has served as Deputy Chief Accountant for the accounting group […]

SEC Approves Plan to Create Consolidated Audit Trail

(HedgeCo.Net) The Securities and Exchange Commission today voted to approve a national market system (NMS) plan to create a single, comprehensive database known as the consolidated audit trail (CAT) that will enable regulators to more efficiently and thoroughly track all […]

SEC Trading and Markets Director Stephen Luparello Steps Down

(HedgeCo.Net) The Securities and Exchange Commission today announced that Stephen Luparello, Director of the Division of Trading and Markets, will leave the agency by the first of the year. He was named director of the office in February 2014. Mr. […]

SEC Charges Renewable Energy Company, CEO, and Others With Defrauding Investors

(HedgeCo.Net) The Securities and Exchange Commission today filed fraud charges against four individuals and others who allegedly profited by defrauding investors in a cash-strapped California-based renewable energy company. Patrick Carter, the founder and CEO of 808 Renewable Energy Corp. was […]

SEC Chair Mary Jo White Announces Departure Plans

(HedgeCo.Net) SEC Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration. Under Chair White’s leadership, the Commission strengthened protections for investors and the […]

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