Hedge Fund News From HedgeCo.Net


Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures

(HedgeCo.NET) A New York-based brokerage firm has agreed to pay a $100,000 penalty to settle charges of compliance and trading surveillance failures. Federal securities laws require firms to enforce policies and procedures to prevent the misuse of material, nonpublic information […]

Martin Investment Management, LLC’s Investment Strategies Offered on HedgeCoVest Platform

(HedgeCo.Net) Martin Investment Management, LLC, a Registered Investment Adviser, has teamed up with HedgeCoVest LLC to add two new institutional-level strategies to the HedgeCoVest Managed Accounts Platform and the SMArt Xchange (‘SMArtX’), a unified managed accounts platform available exclusively to […]

SEC to Host Crowdfunding Dialogue February 28

(Hedgeco.NET) The Securities and Exchange Commission will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based crowdfunding on various market participants. The Commission’s Division of Economic and Risk Analysis is partnering with NYU’s Salomon […]

SEC Charges Company and Officers With Defrauding Investors

(HedgeCo.NET) The Securities and Exchange Commission has charged a California-based penny stock company and four corporate officers with misleading investors about the research, development, and profitability of their purported business to manufacture power generation products such as fuel cells. The […]

LiquidityBook Continues Sales Momentum with the Addition of Three West Coast Hedge Funds

(HedgeCo.NET) LiquidityBook today announced its SaaS-based LBX Buyside POEMS (portfolio, order and execution management system) has been selected by three West Coast hedge funds: Pier 88 Investment Partners, Zeo Capital Advisors and Solstein Capital. Deployed by each firm in late […]

SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings

(HedgeCo.NET) The Securities and Exchange Commission and the North American Securities Administrators Association today signed an information-sharing agreement as new rules to facilitate intrastate crowdfunding offerings and regional offerings take effect. The agreement signed by the SEC and NASAA is […]

Investment Manager Settles Fraud Charges

(HedgeCo.Net) The Securities and Exchange Commission today announced that a purported real estate investment manager has agreed to pay more than a half-million dollars to settle charges that he pocketed investor money in an investment scheme. The SEC alleges that […]

SEC Charges Company and Officers With Defrauding Investors

(HedgeCo.NET) The Securities and Exchange Commission today charged a California-based penny stock company and four corporate officers with misleading investors about the research, development, and profitability of their purported business to manufacture power generation products such as fuel cells. The […]

Morgan Stanley Settles Charges Related to ETF Investments

(HedgeCo.NET) The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney has agreed to pay an $8 million penalty and admit wrongdoing to settle charges related to single inverse ETF investments it recommended to advisory clients. The SEC’s […]

Chinese Citizen Holding $29-Million Charged with Alleged Insider Trading

(HedgeCo.NET) The Securities and Exchange Commission today announced that it obtained an emergency court order freezing brokerage accounts holding more than $29 million in illegal profits from insider trading in advance of the April 2016 acquisition of DreamWorks Animation SKG, […]

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 […]

Citigroup Paying $18 Million for Overbilling Clients

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

Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds

(HedgeCo.Net) The Securities and Exchange Commission today announced that a private equity adviser has been permanently barred from the securities industry and must pay a $1.25 million penalty to settle charges that he withdrew improper fees from two private equity […]

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 […]

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  • Investors moving to alternatives says Lyxor
    Yesterday, February 27, 2017 : Permalink

    (HedgeWeek) Lyxor reports that risk assets have continued to edge higher over the recent weeks, with the MSCI World reaching new highs last week. Yet, equities in developed markets have been essentially fuelled by the US market. To read this […]

  • Valeant-Related Lawsuit Against Sequoia Fund Dismissed
    Yesterday, February 27, 2017 : Permalink

    (FINalternatives) A New York state judge has dismissed a lawsuit accusing the Sequoia Fund, known for its ties to Warren Buffett, of recklessly making a disastrous investment in Valeant Pharmaceuticals that resulted in billions of dollars of losses. To read […]

  • Artivest Partners With Snowden Lane For Advisor Access
    Yesterday, February 27, 2017 : Permalink

    (FINalternatives) Technology-driven alternative investment platform Artivest has inked a strategic partnership with independent advisory firm Snowden Lane Partners that will provide access to leading private equity and hedge funds to Snowden Lane’s RIAs. To read this article:

  • eVestment: Hedge Fund Redemptions Total $5.2B in January 2017
    Yesterday, February 27, 2017 : Permalink

    (FINalternatives) Hedge fund investors continued heading for the exits in January despite buoyant markets and generally positive returns, according to the latest data from eVestment, resulting in the fifth consecutive month of outflows and the longest such streak since December […]



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