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Hedge Funds: Exams/Enforcement (80)
Your search for Hedge Funds: Exams/Enforcement returned 80 results.
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12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
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...
9/14/2018 | Content area: Private Fund
Shortly after his release from prison, Earls formed an investment adviser entity and hedge fund and began soliciting investors. From 2015 through 2018...
9/13/2018 | Content area: Private Fund
A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out that w...
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" ...
9/06/2018 | Content area: Investment Adviser
An industry bar imposed by the SEC on Walter Grenda back in 2015 apparently did little to deter the long time investment adviser. In a complaint filed...
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
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (P...
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...


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