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Tag Archives: Investment Advisers Act
SEC Charges Hedge Fund Manager Peter Eichler, Jr. With Fraud Steering Winning Trades To Select Clients
SEC v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., Case No. 12-cv-10692-JFW (RZx) (C.D. Cal.). On December 14, 2012, the SEC announced charges against Hedge Fund Manager Peter Eichler and his firm Aletheia Research and Management, Inc. … Continue reading
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Tagged Fraud, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Settles Fraud Claims Against Hedge Fund Manager Steven Hart For $1.3 Million
SEC v. Steven B. Hart, Case No. 12-CIV-8986 (S.D.N.Y). On December 11, 2012, the SEC announced it filed a settled fraud action against hedge fund manager Steven Hart for engaging in trading schemes. According to the SEC, Hart caused the … Continue reading
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Tagged Fraud, Insider Trading, Investment Advisers Act, SEC, Securities Act, Securities Exchange Act
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SEC Obtains Asset Freeze and Appointment of Receiver In Fraud Case Against Hedge Fund Adviser Hochfeld Capital Management And Its Principal Berton Hochfeld
SEC v. Berton Hochfeld et al., Case No. 12-cv-8202 (S.D.N.Y.). On November 26, 2012, the SEC announced it obtained a consent judgment in its case against Berton M. Hochfeld and Hochfeld Capital Management, L.L.C., ordering injunctions, asset freezes, the appointment of a … 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 Anand Sekaran With Defrauding Clients
SEC v. Anand Sekaran and Wasson Capital Advisors, Ltd., Case No. 12-cv-8199 JMP (S.D. N.Y.). On November 9, 2012, the SEC announced charges against Anand Sekaran and his firm Wasson Capital Advisors. The SEC alleges that Wasson’s strategy was to … Continue reading
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Tagged Fraud, Investment Advisers Act, SEC, Securities Exchange Act
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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
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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 Hedge Fund Manager Yusaf Jawed in $37 Million Ponzi Scheme
SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, et al; Case No. 12-1696 (D. Ore.); SEC v. Jacques Nichols, Case No. 12-1698 (D. Ore.); SEC v. Lyman Bruhn, et al., Case No. 12-1697 (D. Ore.). On September 21, 2012, the SEC … Continue reading
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Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Hedge Fund Manager Angelo Alleca With Running a Ponzi-Like Scheme
SEC v. Angelo A. Alleca, et al., Case No. 1:12-cv-03261-WSD (N.D. Ga.). On September 19, 2012, the SEC announced fraud charges against hedge fund manager Angelo A. Alleca and his investment advisory firm, Summit Wealth Management, Inc. and three funds he operated … Continue reading
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Tagged Fraud, Investment Advisers Act, Ponzi Scheme, SEC, Securities Act, Securities Exchange Act
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SEC Charges Stephen Blankenship and His Company With Stealing $600,000 From Customers
SEC v. Deer Hill Financial Group, LLC and Stephen B. Blankenship, Case No. 3:12-cv-01317 (D. Conn.) On September 13, 2012, the SEC announced it charged Stephen Blankenship and his company with stealing $600,000 from customers. Most of the investors deceived … Continue reading
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Tagged Fraud, Investment Advisers Act, 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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Securities Enforcement Blog 