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Category Archives: HedgeCo News

Raymond James and Robert W. Baird Settle Charges Related to Compliance Failures

(Hedge Co.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 […]

SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading

(HedgeCo.Net) The Securities and Exchange Commission today charged hedge fund manager Leon G. Cooperman and his firm Omega Advisors with insider trading based on material nonpublic information he learned in confidence from a corporate executive. The SEC alleges that Cooperman […]

SEC Issues $4 Million Whistleblower Award

(HedgeCo.Net) The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower whose original information alerted the agency to a fraud. The SEC’s whistleblower program has awarded more than $111 million to 34 whistleblowers […]

Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules

(HedgeCo.Net) The Securities and Exchange Commission today announced that public accounting firm Ernst & Young has agreed to pay $9.3 million to settle charges that two of the firm’s audit partners got too close to their clients on a personal […]

Marijuana-Related Company Charged with Scheming Investors

(HedgeCo.Net) The Securities and Exchange Commission today announced fraud charges in a scheme involving illegal stock sales and false financial filings of a company that makes containers for growing marijuana. An SEC investigation found that William J. Sears orchestrated the […]

Two Large Firms Charged With Compliance Failures in Wrap Fee Programs

(HedgeCo.Net)— The Securities and Exchange Commission has 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 announced earlier today. The whistleblower program was established by Congress to incentivize whistleblowers with specific, […]

“Stock Trading Whiz Kid” to Pay $1.5 Million to Settle Stock Newsletter Fraud Charges

(HedgeCo.Net) The Securities and Exchange Commission today announced that a self-proclaimed “stock trading whiz kid” and his stock newsletter company in Los Angeles have agreed to pay nearly $1.5 million to settle charges that they defrauded subscribers through false statements […]

Are the Capital Markets Headed for a Major Correction and Will Hedge Funds Help or Hurt?

(HedgeCo.Net) Major corrections in the capital markets are a risk that investors must always consider. Experience shows the question is not if a major correction will happen, but when. The challenge for investors is to determine and prepare for the […]

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 […]

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