Hedge Fund News From HedgeCo.Net


Category Archives: hedge-fund-research

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 […]

Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme

(HedgeCo.Net) The Securities and Exchange Commission today announced insider trading charges against two hedge fund managers and their source, a former government official accused of deceptively obtaining confidential information from the U.S. Food and Drug Administration (FDA). A third hedge […]

SEC Sues UK-Based Trader for Account Intrusion Scheme

(HedgeCo.Net) The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online brokerage accounts of U.S. investors to make unauthorized stock trades […]

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

(HedgeCo.Net) The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. The proposed rule is designed to ensure that investment advisers have plans in […]

Origami Capital Partners Raises $371 Million Private Equity Fund

(HedgeCo.Net)– Sixpoint Partners, a leading global investment bank serving the middle market, today announced the final closing of Origami Opportunities Fund III, L.P (“the Fund”). The Fund, which is the third investment vehicle for Origami Capital Partners (“Origami”), closed with […]

Citadel Names Steven Lieblich Chief Technology Officer of Hedge Fund Business

(HedgeCo.Net) Citadel announced the appointment of Steven Lieblich as Chief Technology Officer of Citadel’s hedge fund business. A 30-year veteran of Morgan Stanley, Steve has served in a series of senior technology roles, most recently as Morgan Stanley’s Chief Information […]

Merrill Lynch Paying $10 Million Penalty for Misleading Investors in Structured Notes

(HedgeCo.Net) — The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay a $10 million penalty to settle charges that it was responsible for misleading statements in offering materials provided to retail investors for structured notes […]

SEC Charges “Frack Master” With Running an $80 Million Oil and Gas Fraud

(HedgeCo.Net) The Securities and Exchange Commission today charged four companies and eight individuals in an $80 million oil and gas fraud orchestrated by a Dallas man who calls himself the “Frack Master” for his purported expertise in hydraulic fracturing. The […]

Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk

(HedgeCO.NET) — The Securities and Exchange Commission today announced that Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges that it misused customer cash to generate profits for the firm and failed to safeguard customer […]

SEC Sues UK-Based Trader for Account Intrusion Scheme

(HedgeCo.Net) — The Securities and Exchange Commission today announced it has obtained an emergency court order to freeze the assets of a United Kingdom resident charged with intruding into the online brokerage accounts of U.S. investors to make unauthorized stock […]

SEC Halts Scheme Defrauding Pro Athletes

(HedgeCo.Net)— The Securities and Exchange Commission today announced that it has obtained a court order freezing the assets of an investment adviser it has charged with secretly siphoning millions of dollars from accounts he managed for professional athletes and investing […]

Muni Advisors Acted Deceptively With California School Districts

(HedgeCo.Net) The Securities and Exchange Commission today announced that two California-based municipal advisory firms and their executives have agreed to settle charges that they used deceptive practices when soliciting the business of five California school districts. An SEC investigation found […]

Related Posts Plugin for WordPress, Blogger...