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You won't find Steven A. Cohen'snamed in the Justice Department's 41-page sealed indictment against S.A.C. Capital Advisors but you will read a scathing review of ...
SEC commissioners have rejected the proposed enforcement settlement with Philip Falcone and his firm Harbinger Capital Partners ($3.1B in AUM) in New York (IA Watch, ...
S.A.C Capital Advisors' Steven A. Cohen does face one charge, that failure-to-supervise allegation leveled against the billionaire hedge fund owner by the SEC (see related ...
Ray Lucia built an empire based on his Buckets of Money(R) strategy. He traveled the country like a pied piper, holding seminars, luring in clients, ...
A chief compliance officer who chooses to keep trading records "in my head" rather than in documents is sure to run into trouble, especially if ...
Last week the hedge fund adviser Level GlobalInvestors settled SEC charges of insider trading by agreeing to pay $21.5 million. It's the latest development in ...
You've heard the message before. Pay attention to compliance or pay. This lesson pops up anew in the travails of Foxhall Capital Management ($27M in ...
The new Form ADV brochure for RH Financial Group ($76M in AUM) in Oakbrook, Ill., offers a clue as to how the RIA has dealt ...
Max Zavanelli has had his troubles when it comes to advertising the performance of his firm, ZPR Investment Management ($164M in AUM) in Orange City, ...
The patchwork of communications pieced together by SEC investigators into solid evidence of insider trading leaves little surprise that the vaunted RIA SAC Capital Advisors ...
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