Hedge Fund News From HedgeCo.Net


Category Archives: HedgeCo Networks Press Releases

BOK Financial, Senior Executive Charged With Turning Blind Eye to Investment Scheme

(HedgeCo.Net) The Securities and Exchange Commission today announced that a subsidiary of Oklahoma-based BOK Financial Corporation has agreed to pay more than $1.6 million to settle charges that it concealed numerous problems and red flags from investors in municipal bond […]

Two Large Investment Advisory Firms Charged With Compliance Failures in Wrap Fee Programs

(HedgeCo.Net)— The Securities and Exchange Commission today announced that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. SEC investigations found that St. Petersburg, Fla.-based Raymond James & Associates and Milwaukee-based Robert W. […]

SEC Whistleblower Program Surpasses $100 Million in Awards

(HedgeCo.Net) The Securities and Exchange Commission’s awards to whistleblowers have surpassed the $100 million mark with the program’s second-largest award of more than $22 million. The whistleblower program was established by Congress to incentivize whistleblowers with specific, timely and credible […]

SEC Charges CEO and Paid Promoter With Fraudulently Promoting Stock of Las Vegas Health Products Company

(HedgeCo.Net) The Securities and Exchange Commission today charged the CEO of a sexual health products retailer and a paid promoter with orchestrating fraudulent promotional campaigns to tout the company’s stock. The SEC alleges that Scott S. Fraser, who also was […]

SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures

(HedgeCo.Net) The Securities and Exchange Commission today charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and other investors out of millions of dollars, much of which he spent on his girlfriend and to cover personal […]

SEC Charges Alabama Attorney and His Companies in Purported Waste-To-Energy Ventures

(HedgeCo.Net) The Securities and Exchange Commission today charged Alabama attorney Donald Watkins and companies he controls with defrauding professional athletes and other investors out of millions of dollars, much of which he spent on his girlfriend and to cover personal […]

RBC to Pay $2.5 Million for Proxy Statement Violations

(HedgeCo.Net) The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for causing materially false and misleading disclosures about its valuation analysis in a proxy statement for Rural/Metro Corporation’s sale in […]

$22 Million Whistleblower Award for Company Insider Who Helped Uncover Fraud

(HedgeCo.Net) The Securities and Exchange Commission today announced the award of more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud at the company where the whistleblower worked. The $22 […]

SEC Adopts Amendments Providing Access to Data Obtained by Security-Based Swap Data Repositories

(HedgeCo.Net) The Securities and Exchange Commission today adopted amendments to a rule that would require security-based swap data repositories to make data available to regulators and other authorities, allowing them to share information and more effectively oversee the security-based swap […]

Purported Green Technology Company Defrauding Investors

(HedgeCo.Net) The Securities and Exchange Commission today charged a California-based company and two executives with using baseless financial projections and other misleading statements to defraud investors in a venture to manufacture environmentally-friendly building materials. The SEC alleges that Enviro Board […]

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

(HedgeCo.NET) The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers. The amendments will improve the quality […]

SEC Charges 71 Municipal Issuers in Muni Bond Disclosure Initiative

(HedgeCo.Net) The Securities and Exchange Commission today announced enforcement actions against 71 municipal issuers and other obligated persons for violations in municipal bond offerings. The actions were brought under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, a voluntary self-reporting program […]

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