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Hedge Funds (126)
Your search for Hedge Funds returned 126 results.
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9/05/2019 | Content area: Private Fund
The SEC is pursuing fraud charges against two private hedge funds and their founders, who the Commission says bilked stricken former football players ...
8/29/2019 | Content area: Private Fund
It appears that Brenda Smith had a broad reach into the pockets of her hedge fund investors.  The SEC has charged Smith, her hedge fund Broad Reach Ca...
8/28/2019 | Content area: Private Fund
EMS also committed additional violations by failing to make and keep true and accurate order memoranda and copies of all written communications sent b...
7/29/2019 | Content area: Private Fund
SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange C...
7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/18/2019 | Content area: CPO/CTA
RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fra...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
7/02/2019 | Content area: CPO/CTA
RELEASE Number 7955-19 July 2, 2019 CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits Washington, DC — The C...
4/25/2019 | Content area: Private Fund
In marketing materials and other related documents provided to clients, DBTCA disclosed that it relies on an independent, in-house research group (“Re...
4/18/2019 | Content area: Private Fund
If Matthew Rossi’s hedge fund venture were a star it would have streaked across the sky in a moment of awe – before crashing ingloriously.   The 50-ye...
4/04/2019 | Content area: Private Fund
Match your skill set against the ideal qualities of an effective CCO. Begin with knowing the Advisers Act, being empowered to enforce your firm’s comp...
2/05/2019 | Content area: Broker-Dealer | Private Fund
Respondent caused false and misleading representations and omissions to be made to current and prospective investors of a New York-based hedge fund (t...
12/26/2018 | Content area: Broker-Dealer | Private Fund
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulati...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
10/29/2018 | Content area: Private Fund
Judge George B. Daniels of the United States District Court for the Southern District of New York granted in part and denied in part Defendants Yorkvi...
10/25/2018 | Content area: Private Fund
Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that kil...
9/27/2018 | Content area: Private Fund
Hudson Housing Capital ($3.2B in AUM) in New York had a problem meeting deadlines, and the SEC took notice.   The adviser failed to deliver audited fi...
9/26/2018 | Content area: Private Fund
The Commission’s complaint alleged that, from at least January 2013 through December 2017, Young illegally raised at least $362, 000 from at least 32 ...
9/21/2018 | Content area: Private Fund
Hope and Bruton managed two private hedge funds in which their only compensation was an incentive fee, calculated as a share of the profits earned in ...
9/14/2018 | Content area: Private Fund
Cushing, on behalf of a hedge fund it managed, sold 1,565,786 units of a publicly traded master limited partnership (“MLP”) to a closed-end fund and o...


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