Hedge Fund News From HedgeCo.Net


Category Archives: HedgeCo News

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 […]

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 […]

SEC Charges Investment Adviser With Stealing Investor Funds

(HedgeCo.NET) The Securities and Exchange Commission today charged a Connecticut-based investment advisory business and its owner with stealing money from investors to settle a private lawsuit among other misuses. The SEC alleges that Sentinel Growth Fund Management and its founder […]

SS&C Creates Exclusive Relationship with HedgeCoVest LLC

The SMArt Xchange service will be available exclusively to Axys, APX, and Black Diamond clients WINDSOR, CT, February 2, 2017 (PR NEWSWIRE) – SS&C Technologies Holdings, Inc. (Nasdaq:SSNC), a global provider of financial services software and software-enabled services, today announced […]

Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme

(HedgeCo.NET) The Securities and Exchange Commission today announced administrative proceedings against New York-based brokerage firm Windsor Street Capital and its former anti-money laundering officer John D. Telfer. The SEC’s Enforcement Division alleges that the firm, formerly named Meyers Associates L.P., […]

SEC Announces Charges in Alleged Ponzi Scheme

(HedgeCo.Net) The Securities and Exchange Commission today announced fraud charges against two New York City men accused of running a Ponzi scheme with money raised from investors to fund businesses purportedly created to purchase and resell tickets to such high-demand […]

Citigroup Paying $18 Million for Overbilling Clients

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

Mediatrix Capital Fund Ltd. Launches as Bloomberg-listed Hedge Fund

(HedgeCo.NET) Mediatrix Capital Fund Ltd. launched today as a Bloomberg-listed (Bloomberg Ticker: MCFCLAA BM) , closed-end hedge fund administered by Sterling Fund Services, audited by KPMG, and domiciled in the Bahamas. Parent company Mediatrix Capital will raise $1 billion in […]

Two Former Executives At Och-Ziff Capital Management Group Charged in Bribery Scheme

(HedgeCo.Net) The Securities and Exchange Commission today charged two former executives at Och-Ziff Capital Management Group with being the driving forces behind a far-reaching bribery scheme that violated the Foreign Corrupt Practices Act (FCPA).Och-Ziff and two other executives previously settled […]

SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It

(HedgeCo.Net) The Securities and Exchange Commission today announced that a Massachusetts-based investment adviser agreed to be banned from the securities industry after the agency uncovered an illegal cherry-picking scheme through its data analysis used to detect suspicious trading patterns. The […]

Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program

(HedgeCo.Net) The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney and Citigroup Global Markets have agreed to pay more than $2.96 million apiece to settle charges that they made false and misleading statements about a foreign exchange […]

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