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Category Archives: HedgeCo News

Wall Street Firm Hit With Additional Charges in Case Involving Pre-Released ADRs

(HedgeCo.Net) The Securities and Exchange Commission today announced additional charges in an enforcement investigation involving the improper handling of American Depositary Receipts (ADRs) by a Wall Street firm’s securities lending desk. The SEC’s order finds supervisory failures by Anthony Portelli, […]

Asia Focused Hedge Funds Offer Great Opportunities

(HedgeCo.Net) For the first time in several years, investors have begun expressing an interest in opportunities in Asia. Investors have shared increasing concerns about the high valuations of both the US equity and fixed income markets (pushed further by the […]

Former CEO To Pay $5.5 million For Not Properly Disclosed Perks to Shareholders

(HedgeCo.Net) Public companies must properly disclose perks, benefits, and other forms of compensation paid to CEOs and certain other highly compensated executive officers. The Securities and Exchange Commission has announced that the former CEO of a marketing company has agreed […]

Former UBS Employee Charged With Insider Trading by FCA

(HedgeCo.Net) The Financial Conduct Authority (FCA) has instituted criminal proceedings against Fabiana Abdel-Malek a former compliance officer employed by UBS AG’s London Branch and Walid Anis Choucair following a joint investigation with the National Crime Agency. Malek and Choucair have […]

Brokerage Firm Charged With Failing to Comply With Anti-Money Laundering Laws

(HedgeCo.Net) A Salt Lake City-based brokerage firm has been charged with securities law violations by the SEC related to its alleged practice of clearing transactions for microcap-stocks that were used in manipulative schemes to harm investors. To help detect potential […]

Virginia Investor Charged With Scheming to Manipulate Stock Price

(HedgeCo.Net) The Securities and Exchange Commission has filed fraud charges against a Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock by making a phony regulatory filing. According to the SEC’s complaint, Robert W. Murray purchased […]

SEC Charges Former Staffer With Securities Fraud Violations

(HedgeCo.Net) The Securities and Exchange Commission has 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 […]

Hedging without Shorting

(HedgeCo.Net) In this article DITMo manager and HedgeCo columnist Peter J. de Marigny discusses how risk metrics fail and how a Pharmaceutical and/or a Risk Parity portfolio may be used as a hedging vehicle. In a bull market hedged portfolios […]

Brokerage Firm Charged With Violating Anti-Money Laundering Laws

(HedgeCO.Net) The Securities and Exchange Commission has charged a Salt Lake City-based brokerage firm with securities law violations related to its alleged practice of clearing transactions for microcap stocks that were used in manipulative schemes to harm investors. To help […]

HedgeCoVest DEPLOY Streamlines Middle and Back Office SMA Operations

(HedgeCo.Net) HedgeCoVest LLC (www.hedgecovest.com), a leading provider of managed accounts technology for advisors, today announced its new enterprise level solution, the DEPLOY Program, a fully outsourced solution to handle the day-to-day operations of an investment firm’s separately managed accounts (“SMA”) […]

Virginia-based mechanical engineer accused of scheming to manipulate the price of Fitbit stock

(HedgeCo.Net) Robert W. Murray allegedly purchased Fitbit call options just minutes before a fake tender offer that he orchestrated was filed on the SEC’s EDGAR system purporting that a company named ABM Capital LTD sought to acquire Fitbit’s outstanding shares […]

SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws

(HedgeCo.Net) The Securities and Exchange Commission today charged a Salt Lake City-based brokerage firm with securities law violations related to its alleged practice of clearing transactions for microcap stocks that were used in manipulative schemes to harm investors. To help […]

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