Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Hedge Funds (113)
Your search for Hedge Funds returned 113 results.
Sorted by Date

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...
9/13/2018 | Content area: Private Fund
Lemelson used written reports, interviews, and social media to spread untrue claims, including that Ligand was "teetering on the brink of bankruptcy" ...
9/11/2018 | Content area: Investment Adviser | Private Fund
In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until Octo...
8/06/2018 | Content area: Private Fund
Murakami misappropriated investor funds for business and personal expenses and made approximately $1.3 million in Ponzi-like payments. The SEC also ch...
5/24/2018 | Content area: Private Fund
These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called A...
5/10/2018 | Content area: Private Fund
Only a few years ago, Premium Point Investment ($84M in AUM), a New York hedge fund adviser, managed $2.5 billion in assets. Now it’s shutting down.  ...
5/09/2018 | Content area: Private Fund
The scheme ran from at least September 2015 through March 2016 and relied on a secret deal where in exchange for sending trades to a broker-dealer, Pr...
5/07/2018 | Content area: Private Fund
Murakami admitted to diverting millions of dollars of investor funds to business and personal accounts that he controlled, and using the money to pay ...
4/23/2018 | Content area: Private Fund
The counts of the indictment on which Shkreli was convicted charged, inter alia, that Shkreli committed securities fraud by, among other things: defra...
3/21/2018 | Content area: Private Fund
The SEC charged Genovese and his hedge fund and advisory firm on February 2, 2018. According to the SEC's complaint, Genovese and his fund and firm ra...
3/05/2018 | Content area: Private Fund
Stefan Lumiere and fellow hedge fund manager Christopher Plaford engaged in a fraudulent scheme to falsely inflate the value of securities held by a h...
2/15/2018 | Content area: Private Fund
This settlement also resolves allegations that Hicks fraudulently solicited investors by telling them that the majority of their investments would be...
2/08/2018 | Content area: Private Fund
The credentials heralded by the hedge fund adviser principal were certainly impressive—an MBA in finance from Dartmouth, a prior portfolio manager wit...
2/02/2018 | Content area: Private Fund
Nicholas Joseph Genovese and his hedge fund Willow Creek Investments LP raised more than $5.3 million from at least six investors by affirmatively mi...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US