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Category Archives: hedge-fund-research

Nashville Firm Allegedly Schemed to Collect Extra Fees From Hedge Funds

(HedgeCo.Net) — The Securities and Exchange Commission today charged a Nashville, Tenn.-based investment advisory firm and its owner with scheming to collect extra monthly fees from a pair of hedge funds they managed. Examiners in the SEC’s Atlanta office detected […]

SEC Offers Online Tool to Help Companies Estimate Registration Fees

(HedgeCo.Net) A new online tool may help firms calculate registration fees for certain form submissions to EDGAR, the SEC’s electronic database of financial reports and other filings. The new tool is intended to improve the accuracy of fee calculations and […]

Financial Adviser Charged with Defrauding Pro Athletes

(HedgeCo.Net) A Pittsburgh financial adviser is accused of taking money without permission from the accounts of several professional athletes in order to invest in movie projects and make Ponzi-like payments. SEC examiners uncovered unauthorized withdrawals that Louis Martin Blazer III […]

SEC Blocks Trader’s $425,000 Profits From False Filing

(HedgeCo.Net) The Securities and Exchange Commission has obtained a court order to freeze the profits of a trader who allegedly manipulated a technology stock through a false regulatory filing traced to a computer in Pakistan. The asset freeze issued today […]

Two Individuals Share Whistleblower Award of More Than $450,000

(HedgeCo.Net) Its been another staggering week for Whistleblowers after receiving a whopping $10-Million in payouts. The Securities and Exchange Commission today announced it will jointly award more than $450,000 to two individuals for a tip that led the agency to […]

Who Are the Most Innovative Companies in Fintech?

(HedgeCo.Net) Final preparations are underway for tonight Benzinga Fintech Awards banquet at Tribeca 360 in New York City. Over 223 companies across the United States entered the competition including last years national first place winner HedgeCoVest. 131 finalist have been […]

SEC Announces Insider Trading Charges in Case Involving Sports Gambler and Board Member

(HedgeCo.Net) The Securities and Exchange Commission today announced insider trading charges against a professional sports gambler who allegedly made $40 million based on illegal stock tips from a corporate insider who owed him money. The SEC alleges that the sports […]

Mayor in Illinois Settles Muni Bond Fraud Charges

(HedgeCo.Net) The mayor of Harvey, Ill., has agreed to pay $10,000 and never participate in a municipal bond offering again in order to settle fraud charges. Eric J. Kellogg was connected to a series of fraudulent bond offerings by the […]

SEC Awards More Than $5 Million to Whistleblower

(HedgeCo.Net) Less than one week after announcing a $3-Million dollar award to a Whistleblower, The Securities and Exchange Commission today announced one of the largest awards in their history. The SEC will present an award of between $5 and $6 […]

(FINRA) may require brokers and dealers to report Treasury cash market transactions to a centralized repository.

(HedgeCo.Net) New efforts are underway to enhance the monitoring and reporting of Treasury cash market transactions.The U.S. Department of the Treasury and the Securities and Exchange Commission today announced that they are working together to explore efficient and effective means […]

Paulson Triples Stakes in Endo, Akorn as Other Hedge Funds Sell

(Bloomberg) Paulson & Co., the firm led by billionaire John Paulson, tripled its stakes in Endo International Plc and Akorn Inc. in the first quarter, sticking to big-name health-care wagers even as many other hedge funds ran the opposite way. […]

SEC Charges Two Attorneys With Defrauding Escrow Clients

(HedgeCo.Net) The Securities and Exchange Commission today announced fraud charges against two attorneys accused of making undisclosed risky investments and in some instances outright stealing money they obtained in escrow accounts from small business owners seeking commercial loans. The SEC […]

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