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CPOs/CTAs (5)
Your search for CPOs/CTAs returned 5 results.
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9/19/2018 | Content area: Investment Adviser | CPO/CTA
The Commission’s amended complaint alleged that Bruton and Hope perpetrated a scheme to charge unearned fees to the HI Fund. Specifically, the HI Fund...
11/30/2016 | Content area: Investment Adviser | CPO/CTA
Kelley and Shumway solicited several investors to invest at least $3.1 million with Blackbird, or through a separate "friends and family" account, whi...
6/02/2016 | Content area: Investment Adviser | CPO/CTA | Private Fund
Engaging in a continuous pattern of fraudulent “scheme trades” to circumvent the provisions of an incentive fee structure has landed a hedge fund mana...
1/19/2016 | Content area: Investment Adviser | CPO/CTA
These proceedings arise from material misstatements and omissions made by Equinox in the offer and sale of units in the Frontier Fund (“TFF”), a publi...
8/19/2013 | Content area: Investment Adviser | CPO/CTA
Two years of work culminated last week with a new final rule from the CFTC that adds a new phrase to the regulatory lexicon: "substituted compliance."...


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