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The counts of the indictment on which Shkreli was convicted charged, inter alia, that Shkreli committed securities fraud by, among other things: defrauding investors and ...
Eric Erb admits he was “tormented with shame and grief,” which drove him last year to direct his lawyer to confess his crime to authorities. ...
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 ...
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 ...
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 ...
This settlement also resolves allegations that Hicks fraudulently solicited investors by telling them that the majority of their investments would be placed in unrestricted, ...
This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.
The credentials heralded by the hedge fund adviser principal were certainly impressive—an MBA in finance from Dartmouth, a prior portfolio manager with Bear Stearns, a ...
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