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Hedge Funds: Exams/Enforcement (14)
Your search for Hedge Funds: Exams/Enforcement returned 14 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...
9/06/2018 | 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...
10/12/2017 | Content area: Investment Adviser
A New York-based investment adviser reported to his clients last June total assets of at least $21.8 million. Authorities allege the reality was decid...
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...
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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