Category Archives: hedge-fund-research

SEC Charges Texas Company and Its Principal in Multi-Million Dollar Ponzi Scheme

(HedgeCo.Net) The Securities and Exchange Commission today has announced charges against a Texas company and its principal for unlawfully selling unregistered securities in connection with the previously charged Madison Timber Properties, LLC Ponzi scheme. The SEC’s complaint, filed in federal […]

Acquisition Advisor Charged with Insider Trading

(HedgeCo.Net) The U.S. District Court for the Central District of California entered a consent judgment against corporate deal advisor Rong Chen, who was charged by the Securities and Exchange Commission with insider trading. In September 2018, the SEC charged Chen, […]

“Investing in a New Age”

(HedgeCo.Net) The 6th Global Family Office Investment Summit hosted by the 600-year-old Ritossa Family Office and themed “Investing in a New Age” made headlines around the world June 27-29 as the “Davos of Family Offices” and most important family office […]

SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients

(HedgeCo.Net) The Securities and Exchange Commission has announced that three investment advisers have settled charges for breaching fiduciary duties to clients and generating millions of dollars of improper fees in the process. According to the SEC’s orders, PNC Investments LLC, […]

Credit Rating Agencies Show Improvements

(HedgeCo.Net) Credit rating agencies under Securities and Exchange Commission oversight show improved compliance, increased information technology resources, and continued competition, according to two SEC staff reports released today on nationally recognized statistical rating organizations (NRSROs). “NRSROs are continuing to display […]

Pastor Charged With Exploiting Investors

(HedgeCo.Net) The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members, retirees, and laid-off auto workers who were misled to believe they were investing in a […]

RBC to Pay $2.5 Million for Proxy Statement Violations

(HedgeCo.Net) The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for causing materially false and misleading disclosures about its valuation analysis in a proxy statement for Rural/Metro Corporation’s sale in […]

SEC Adopts Amendments Providing Access to Data Obtained by Security-Based Swap Data Repositories

(HedgeCo.Net) The Securities and Exchange Commission today adopted amendments to a rule that would require security-based swap data repositories to make data available to regulators and other authorities, allowing them to share information and more effectively oversee the security-based swap […]

SEC Obtains Asset Freeze in Case of Investor Funds Stolen for Shopping Sprees

(HedgeCo.Net) The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to sell investments and allegedly went on lavish shopping sprees with more than $5 million raised from investors to purportedly […]

Six Major Costs of Starting a Hedge Fund

(HedgeCo.Net) Beyond designing an investment strategy is the important task of setting up your firm infrastructure, and that includes how to budget the costs of starting your hedge fund. To outline cost estimates of what it takes to start a […]

SEC Charges Stockbroker and Friend With Insider Trading

(HedgeCo.Net) The Securities and Exchange Commission today charged a stockbroker and his friend with participating in an insider trading scheme to profit in advance of two major announcements out of a pharmaceutical company. The SEC alleges that Paul T. Rampoldi […]

Former Professional Football Player Charged With Running $10 Million Fraud

(HedgeCo.Net) The Securities and Exchange Commission today charged Merrill Robertson Jr., a former player for the Philadelphia Eagles, with defrauding investors, including coaches he knew from his time playing football for the Fork Union Military Academy and the University of […]