Tobias Preston, his brother, Charles Preston, and his son, Caleb Preston, along with their investment advisory entity, McKinley Mortgage Co. LLC (McKinley), raised more than ...
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 ...
Edward Henderson was one of several individuals charged with engaging in a scheme to trigger investments in various thinly-traded stocks through secret kickbacks to an ...
Stefan Lumiere and fellow hedge fund manager Christopher Plaford engaged in a fraudulent scheme to falsely inflate the value of securities held by a hedge ...
It seems Riordan Lewis & Haden ($707M in AUM), a Los Angeles-based private equity fund adviser, was intent on getting money from the government one ...
The complaint alleged Lumiere took a series of steps to inflate falsely the value of securities held by the Credit Fund resulting in the fund: ...
His conduct included taking extensive measures to hide Zoernack’s identity as fund manager—while simultaneously advertising that the funds boasted a seasoned and reputable manager—and otherwise ...
The complaint also alleges that a) Hicks and the Southridge Entities defrauded their investors by promising investors that at least 75% of their money would ...
The complaint alleged that, during the Period, Respondents executed improper trades across the funds that benefitted certain clients at the expense of other clients. The ...
Thibeault misappropriated money from an investment fund that he was managing. Specifically, the SEC alleged that Mr. Thibeault and his companies were the investment advisers ...