Hedge Fund News From HedgeCo.Net


Category Archives: HedgeCo Networks Press Releases

SEC Charges Company and Officers With Defrauding Investors

(HedgeCo.NET) The Securities and Exchange Commission has charged a California-based penny stock company and four corporate officers with misleading investors about the research, development, and profitability of their purported business to manufacture power generation products such as fuel cells. The […]

LiquidityBook Continues Sales Momentum with the Addition of Three West Coast Hedge Funds

(HedgeCo.NET) LiquidityBook today announced its SaaS-based LBX Buyside POEMS (portfolio, order and execution management system) has been selected by three West Coast hedge funds: Pier 88 Investment Partners, Zeo Capital Advisors and Solstein Capital. Deployed by each firm in late […]

SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings

(HedgeCo.NET) The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules to facilitate intrastate crowdfunding offerings and regional offerings take effect. The agreement signed by the SEC and NASAA is […]

Investment Manager Settles Fraud Charges

(HedgeCo.Net) The Securities and Exchange Commission today announced that a purported real estate investment manager has agreed to pay more than a half-million dollars to settle charges that he pocketed investor money in an investment scheme. The SEC alleges that […]

SEC Charges Company and Officers With Defrauding Investors

(HedgeCo.NET) The Securities and Exchange Commission today charged a California-based penny stock company and four corporate officers with misleading investors about the research, development, and profitability of their purported business to manufacture power generation products such as fuel cells. The […]

Morgan Stanley Settles Charges Related to ETF Investments

(HedgeCo.NET) The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s […]

Chinese Citizen Holding $29-Million Charged with Alleged Insider Trading

(HedgeCo.NET) The Securities and Exchange Commission today announced that it obtained an emergency court order freezing brokerage accounts holding more than $29 million in illegal profits from insider trading in advance of the April 2016 acquisition of DreamWorks Animation SKG, […]

SEC Charges Financial Adviser With Stealing From Client Accounts

(HedgeCo.NET) The Securities and Exchange Commission today charged an investment adviser representative with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to third parties to cover personal expenses. The SEC alleges that Barry […]

Citigroup Paying $18 Million for Overbilling Clients

(HedgeCo.NET) The Securities and Exchange Commission has announced that Citigroup Global Markets has agreed to pay $18.3 million to settle charges that it overbilled investment advisory clients and misplaced client contracts. The SEC’s order finds that at least 60,000 advisory […]

Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds

(HedgeCo.Net) The Securities and Exchange Commission today announced that a private equity adviser has been permanently barred from the securities industry and must pay a $1.25 million penalty to settle charges that he withdrew improper fees from two private equity […]

The Demise Of The Fiduciary Rule?

(HedgeCo.Net) A new commentary by Crow & Cushing examines the process for rolling back existing regulations and what to expect in the case of the “fiduciary” rule. Crow & Cushing is a law firm in Princeton, NJ, specializing in serving […]

Chief Operating Officer Jeffery Heslop to Leave SEC

(HedgeCo.Net) The Securities and Exchange Commission today announced SEC Chief Operating Officer Jeffery Heslop will leave the agency this month. Mr. Heslop joined the SEC in 2010 when he was named the SEC’s first-ever COO. In the nearly seven years […]

Related Posts Plugin for WordPress, Blogger...