Hedge Fund News From HedgeCo.Net


Category Archives: HedgeCo Networks Press Releases

SEC Charges Former Staffer With Securities Fraud Violations

(HedgeCo.Net) The Securities and Exchange Commission today charged a former employee with securities fraud in connection with his trading of options and other securities. The SEC’s complaint alleges that David R. Humphrey, who worked at the SEC from 1998 to […]

Semiconductor Company and Former CFO Settle Accounting Fraud Charges

(HedgeCo.Net) The Securities and Exchange Commission has announced that a South Korea-based semiconductor manufacturer and its former CFO have agreed to settle charges related to an accounting scheme to artificially boost revenue and manipulate the financial results reported to investors. […]

FINRA Announce National Compliance Outreach Program for Broker-Dealers

(HedgeCo.Net) Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27. Registration opened today […]

Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements

(HedgeCo.Net) The Securities and Exchange Commission today announced that a New Jersey-based firm and its CEO have agreed to pay more than $4 million to settle charges that they used new investor money to repay earlier investors in Ponzi-like fashion […]

Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account

(HedgeCo.Net) The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based portfolio manager accused of diverting at least $1.95 million to his personal brokerage account from a fund over which he had trading authority. The SEC’s complaint alleges […]

Whistleblower Award of More Than Half-Million Dollars for Company Insider

(HedgeCo.Net) The Securities and Exchange Commission today announced that a company insider has earned a whistleblower award of more than $500,000 for reporting information that prompted an SEC investigation into well-hidden misconduct that resulted in an SEC enforcement action. “This […]

Executives Charged in Connection With Accounting Failures at Government Contractor

(HedgeCo.Net) The Securities and Exchange Commission today announced charges against two former executives at a government contractor that was the subject of an SEC enforcement action earlier this year and paid a $1.6 million penalty for accounting failures. The SEC […]

SEC Charges EB-5 Operator With Securities Fraud

(HedgeCo.Net) The Securities and Exchange Commission today announced that an Idaho man has agreed to pay back several million dollars he siphoned away for personal use rather than investing it as promised to create U.S. jobs through the EB-5 Immigrant […]

Investment Bank VP Charged With Insider Trading

(HedgeCo.Net) The Securities and Exchange Commission today charged a vice president in the risk management department of a New York-based investment bank with insider trading on confidential information he learned in advance of a private equity firm’s acquisition of a […]

SEC Awards Nearly $4 Million to Whistleblower

(HedgeCo.Net) The Securities and Exchange Commission today announced an award of nearly $4 million to a whistleblower who tipped the agency with detailed and specific information about serious misconduct and provided additional assistance during the ensuing investigation, including industry-specific knowledge […]

Broker Charged With Defrauding Customers

(HedgeCo.Net) The Securities and Exchange Commission today charged a former broker with knowingly or recklessly trading unsuitable investment products in the accounts of five customers and misappropriating more than $170,000 from one of those customers. The SEC’s complaint alleges that […]

Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account

(HedgeCo.Net) The Securities and Exchange Commission today announced fraud charges against a Massachusetts-based portfolio manager accused of diverting at least $1.95 million to his personal brokerage account from a fund over which he had trading authority. The SEC’s complaint alleges […]

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