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Category Archives: hedge-fund-research

SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees

(HedgeCo.Net) The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to sell investments and allegedly went on lavish shopping sprees with more than $5 million raised from investors to purportedly […]

Six Major Costs of Starting a Hedge Fund

(HedgeCo.Net) Beyond designing an investment strategy is the important task of setting up your firm infrastructure, and that includes how to budget the costs of starting your hedge fund. To outline cost estimates of what it takes to start a […]

SEC Charges Stockbroker and Friend With Insider Trading

(HedgeCo.Net) The Securities and Exchange Commission today charged a stockbroker and his friend with participating in an insider trading scheme to profit in advance of two major announcements out of a pharmaceutical company. The SEC alleges that Paul T. Rampoldi […]

Former Professional Football Player Charged With Running $10 Million Fraud

(HedgeCo.Net) The Securities and Exchange Commission today charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with defrauding investors, including coaches he knew from his time playing football for the Fork Union Military Academy and the University of […]

Private Fund Administrator Charged With Gatekeeper Failures

(HedgeCo.Net) The Securities and Exchange Commission has announced that a firm providing administrative services to private funds has agreed to pay more than $350,000 to settle charges that it failed to heed red flags and correct faulty accounting by two […]

SEC Halts Ponzi Scheme Aimed at Middle Class

(HedgeCo.Net) The Securities and Exchange Commission has charged two California men and their investment firm with operating a Ponzi scheme as they purported to specialize in serving middle-class investors and securing exorbitant returns by investing in hot pre-IPO stocks. The […]

Agile Fund Solutions expands team in Southern California as industry specialists join their hedge fund CFO business.

(HedgeCo.Net) “Southern California presents a major opportunity for Agile. Greg is a veteran player in the SoCal market and has overseen hedge funds and family offices across all size scales,” said Vincent Calcagno, CEO. “Coupled with Andi’s experience serving hedge […]

SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees

(HedgeCo.Net) The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to sell investments and allegedly went on lavish shopping sprees with more than $5 million raised from investors to purportedly […]

Five whistleblowers receive more than $26 million,

(HedgeCo.Net)— The Securities and Exchange Commission has announced a whistleblower award of more than $17 million to a former company employee whose detailed tip substantially advanced the agency’s investigation and ultimate enforcement action. The award is the second-largest issued by […]

State Street Allegedly Misled Custody Clients About Prices for Foreign Currency Exchange Trades

(HedgeCo.Net) The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million in a global settlement for misleading mutual funds and other custody clients by applying hidden markups to foreign currency […]

SEC Halts Ongoing Fraudulent Stock Scheme

(HedgeCo.Net) The Securities and Exchange Commission today announced it has won a court-ordered asset freeze to halt an ongoing fraud by two former brokers with disciplinary histories who allegedly raised more than $5 million from investors without using the money […]

Investment Fund Manager Sentenced to Fifteen Months in Federal Prison for Obstructing SEC Investigation

(HedgeCo.Net) A defendant in a SEC enforcement action was sentenced to fifteen months in prison in a parallel criminal case after pleading guilty to charges that he obstructed justice in an investigation conducted by the SEC. Vineet Kalucha, whose sentence […]

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