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Category Archives: HedgeCo News

Barclays to Pay $97 Million for Overcharging Clients

(HedgeCo.Net) The Securities and Exchange Commission has announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund sales charges to clients who were overcharged. In a settlement of more than $97 million, Barclays agreed to settle […]

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

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

Former Head Traders at Nomura Charged With Fraud

(HedgeCo.Net) The Securities and Exchange Commission has charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliberately lying to customers in order to inflate the profits of the […]

Charges Filed in Trading Scheme Involving Confidential Government Information

(HedgeCo.Net) The Securities and Exchange Commission has announced charges in an alleged insider trading scheme involving tips of nonpublic information about government plans to cut Medicare reimbursement rates, which affected the stock prices of certain publicly traded medical providers or […]

Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme

(HedgeCO.Net) A former partner at an international law firm and his neighbor have been charged by the SEC with making more than $1 million in illicit profits by insider trading around corporate announcements. The SEC alleges that Walter C. Little […]

Whistleblower Award of More Than Half-Million Dollars

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

CEO Charged With Failing to Disclose 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 today announced that the former CEO of a marketing company has agreed […]

Fake Filer Charged With Manipulating Fitbit Stock

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

Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme

(HedgeCo.Net) The Securities and Exchange Commission has charged a former partner at an international law firm and his neighbor with making more than $1 million in illicit profits by insider trading around corporate announcements. The SEC alleges that Walter C. […]

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

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

Barclays to Pay $97 Million for Overcharging Clients

(HedgeCo.Net) The Securities and Exchange Commission has announced an enforcement action requiring Barclays Capital to refund advisory fees or mutual fund sales charges to clients who were overcharged. In a settlement of more than $97 million, Barclays agreed to settle […]

SEC Charges Former Head Traders at Nomura With Fraud

(HedgeCo.Net) The Securities and Exchange Commission today charged a pair of former head traders who ran the commercial mortgage-backed securities (CMBS) desk at Nomura Securities International Inc. with deliberately lying to customers in order to inflate the profits of the […]

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