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Hedge Funds (17)
Your search for Hedge Funds returned 17 results.
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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...
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...
8/03/2017 | Content area: Investment Adviser
Strong stock market performance in the past year has propelled the aggregate regulatory assets under management of SEC-registered investment advisers ...
4/07/2017 | Content area: Investment Adviser
The loud pounding upon the door of the fashionable suburban house north of New York City began about 5 a.m., startling the occupants – including three...
4/19/2016 | Content area: Investment Adviser | Private Fund
The Council is providing this public update on its review of potential risks to financial stability that may arise from certain asset management produ...
4/18/2016 | Content area: Investment Adviser | Private Fund
Although there is overlap in the topics covered in FSOC’s update and the SEC’s proposed reforms, it should be understood that the SEC’s analysis of fo...
4/07/2016 | Content area: Investment Adviser | Private Fund
The outcry in the wake of the Panama Papers release has quickly filtered down to investment advisers. Fewer than 24 hours after the release, a group o...
10/15/2015 | Content area: Investment Adviser | Private Fund
Bernath, directed three funds managed by his investment advisory firm to make loans to and investments in illiquid real estate and business ventures w...
12/12/2013 | Content area: Investment Adviser
SEC settles with Merrill Lynch for violations related to its structuring and marketing of a series of collateralized debt obligation (CDOs) transactio...
8/14/2013 | Content area: Investment Adviser
SEC Halts Fraud by Ohio-Based Hedge Fund Manager
5/07/2013 | Content area: Investment Adviser
This SEC document request letter went to a hedge fund adviser within the Chicago Regional Office of the SEC.
5/07/2013 | Content area: Investment Adviser
This is a copy of an SEC document request letter that went to a hedge fund adviser. This originated in the SEC's Chicago Regional Office.
5/07/2013 | Content area: Investment Adviser
This is an SEC document request letter that went to a hedge fund adviser. This came out of the Chicago Regional Office.
3/04/2013 | Content area: Investment Adviser
SEC Charges Advisers to the RAHFCO Hedge Funds with Fraud.
1/09/2013 | Content area: Investment Adviser
Court orders hedge fund manager and firm to pay nearly $5 million in disgorgement and penalties.
12/13/2012 | Content area: Investment Adviser
The SEC charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7...
12/11/2012 | Content area: Investment Adviser
The SEC charges hedge fund manager with two widespread fraudulent trading schemes spanning nearly four years.


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