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Category Archives: HedgeCo News

Pension-backed Morgan Creek Digital Makes Strategic Investment in Ikigai Asset Management

(HedgeCo.Net) Morgan Creek Digital announced today that it will be the lead anchor investor in Ikigai Asset Management’s flagship fund focused on executing systematic and fundamental liquid hedge fund strategies as well as opportunistic venture-stage crypto asset investments. Ikigai is […]

Wedbush to Pay $250,000 to Settles Failure to Supervise Charge

(HedgeCo.Net) The Securities and Exchange Commission has announced that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge in a pending administrative proceeding. According to the SEC’s March […]

Investment Adviser Charged with Stealing Millions from Investors to Perpetrate Ponzi Scheme

(HedgeCo.Net The Securities and Exchange Commission has charged a Long Beach, Calif. investment adviser with stealing millions of dollars from investors to perpetrate a Ponzi scheme. The SEC alleges that Carol Ann Pedersen, a former CPA and unregistered investment adviser, […]

SEC Halts $25-Million Ponzi Scheme Targeting Investors

(HedgeCo.Net) Fraud charges have been filed along with an asset freeze against the operators of a $25 million Ponzi scheme falsely promising high annual returns with minimal to no risk to investors in the Vietnamese community of Orange County, California. […]

Registered Investment Adviser and Former Chief Operating Officer Charged With Defrauding Client

(HedgeCo.Net) Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief operating officer of the firm, have been charged with manipulating the auction of a commercial real estate asset on behalf of one client for the benefit […]

Volkswagen, Former CEO Charged With Defrauding Bond Investors During “Clean Diesel” Emissions Fraud

(HedgeCo.Net) The Securities and Exchange Commission has charged Volkswagen AG, two of its subsidiaries, and its former CEO, Martin Winterkorn, for defrauding U.S. investors, raising billions of dollars through the corporate bond and fixed income markets while making a series […]

Wedbush Securities Pays $250K To Settle Failure to Supervise Charge

(HedgeCo.Net) The Securities and Exchange Commission announced today that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge in a pending administrative proceeding. According to the SEC’s Wedbush […]

Lumber Liquidators Charged With Making Fraudulent Misstatements To Investors

(HedgeCo.Net) The Securities and Exchange Commission has announced charges against Lumber Liquidators Holdings Inc. for making fraudulent misstatements to investors. The charges stem from Lumber Liquidators’ false public statements in response to media allegations that the company was selling laminate […]

Charges Settled Against 79 Investment Advisers…More Than $125 Million Returned To Clients

(HedgeCo.Net) The Securities and Exchange Commission today announced settled charges against 79 investment advisers who will return more than $125 million to clients, with a substantial majority of the funds going to retail investors. The actions stem from the SEC’s […]

Mobile TeleSystems Settles FCPA Violations

(HedgeCo.Net) Russian telecommunications provider Mobile TeleSystems PJSC (MTS) will pay $100 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) to win business in Uzbekistan. According to the SEC’s order, MTS bribed an Uzbek official […]

Mobile TeleSystems Settles FCPA Violations

(HedgeCo.Net) Russian telecommunications provider Mobile TeleSystems PJSC (MTS) will pay $100 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) to win business in Uzbekistan. According to the SEC’s order, MTS bribed an Uzbek official […]

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements

(HedgeCo.Net) The Securities and Exchange Commission today announced that BB&T Securities has agreed to return more than $5 million to retail investors and pay a $500,000 penalty to settle charges that a firm it acquired misled its advisory clients into […]

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