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- SEC Charges Microsoft Manager Brian Jorgenson and his Friend Sean Stokke with Insider Trading
- SEC Obtains Emergency Relief against Robert Helms and Janniece Kaelin in Alleged Ponzi Scheme
- SEC Charges Fifth Third Bancorp and its Former CFO Daniel Poston with Fraud for Accounting Practices during the Financial Crisis
- SEC Settles Insider Trading Case against Charles Langston III
- SEC Settles Penny Stock Case Against Curt Kramer for $1.4 Million
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Tag Archives: Hedge Fund
SEC’s Aberrational Performance Inquiry Leads To Charges Against Hedge Fund Executives Mark Angelo and Edward Schinik
SEC v. Yorkville Advisors, LLC, et al., Case No. 12-civ-7728 (S.D.N.Y.) The SEC’s Aberrational Performance Inquiry, which is a joint effort among the Division of Enforcement, Office of Compliance, Inspections and Examinations, and the Division of Risk, Strategy and Financial … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Continues To Publicize Its Vigorous Pursuit of Hedge Funds
For the past few years, the SEC has widely publicized its enforcement efforts against hedge funds. The agency has filed more than 100 hedge fund cases since 2010. On October 3, 2012, it issued an investor bulletin describing some of … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Charges Rondald Wheet and Revolutions Medical Corp. For False Statements About The Company’s Medical Safety Syringe
SEC v. Revolutions Medical Corp. and Rondald L. Wheet, Case No. 1:12-cv-03298-TCB (N.D. Ga.). On September 21, 2012, the SEC announced charges against Revolutions Medical Corp. (“Revolutions Medical”) and its CEO, Rondald L. Wheet (“Wheet”). The case concerns Revolutions Medical’s … Continue reading
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Tagged Fraud, Hedge Fund, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hyung Lim With Insider Trading For Tipping Hedge Fund Manager
SEC v. Hyung Lim, Case No. 12-CV-6707 (S.D.N.Y.). On September 4, 2012, the SEC charged Hyung Lim with insider trading. Lim obtained information about Nvidia Corporation’s quarterly earnings announcements from a friend who worked there. Lim would then tip hedge … Continue reading
Posted in Securities
Tagged Fraud, Hedge Fund, illegal trades, Insider Trading, SEC, Securities Act, Securities Exchange Act
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Hedge Fund Manager James F. Turner And His Firm Ordered to Disgorge $2 Million In Profits From Insider Trading
Securities and Exchange Commission v. Clay Capital Management, LLC, et al., Case No. 2:11-cv-05020-DMC-JAD (D.N.J.). On August 29, 2012, the SEC announced it obtained final judgments against Clay Capital Management, LLC and its former Chief Investment Officer, James F. Turner II, … Continue reading
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Tagged Fraud, Hedge Fund, Insider Trading, SEC, Securities Act, Securities Exchange Act
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SEC Files Settled Fraud Action Against Hedge Fund Manager Gary R. Marks
Securities and Exchange Commission v. Gary R. Marks, CV-12-4486-JSC (N.D. Cal.). On August 27, the SEC announced it had filed a settled action against Gary R. Marks. Marks managed various fund of funds hedge funds through Sky Bell Asset Management, … Continue reading
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Tagged Fraud, Hedge Fund, Investment Advisers Act, SEC, Securities Act
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SEC Charges Fund Manager Peter Siris and Others With Fraud Related to Chinese Reverse Merger Company
SEC v. Peter Siris, et al.; SEC v. Alan Sheinwald, et al.; In the Matter of Peter Dong Zhou; In the Matter of Stephen Mazuchowski (A/K/A Steve Mazur); In the Matter of James Fuld, Jr. On July 30, 2012, the … Continue reading
SEC Obtains Emergency Relief Against Jason Konior in $11 Million Fraud
SEC v. Jason Konior, Absolute Fund Advisors, LLC, and Absolute Fund Management, LLC, Case No. 1:12-cv-04145-LLS (S.D.N.Y.). On May 24, 2012, the SEC obtained a preliminary injunction, asset freeze, and an order for a verified accounting against Jason Konior and his affiliated … Continue reading
SEC Settles With Hedge Fund Adviser Charged With Misleading Investors
In the Matter of Quantek Asset Management, LLC, Bulltick Capital Markets Holdings, LP, Javier Guerra, and Ralph Patino, AP File No. 3-14893. On May 29, 2012, the SEC issued an Order Instituting Administrative and Cease-And-Desist Proceedings against Quantek, Bulltick, Guerra and Patino. … Continue reading
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Tagged Hedge Fund, Investment Advisers Act, SEC, Securities Act
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Securities Enforcement Blog 