US Legal & Regulation

SEC proposals aim to strengthen safeguards of investor funds

Fri, 15/05/2009 - 16:04

The Securities and Exchange Commission has proposed rule amendments that aim to substantially increase protections for investors who entrust their money to investment advisers. »

Michigan resident fined USD300,000 in sanctions for defrauding clients

Thu, 14/05/2009 - 15:42

The US Commodity Futures Trading Commission has obtained an order against Steven G. »

Michael Lauer to pay over USD62m in hedge fund fraud case

Tue, 12/05/2009 - 16:46

The Securities and Exchange Commission has announced that Michael Lauer, the head of two Connecticut-based hedge fund advisors, has been ordered to pay more than USD62m within 15 days a »

SEC charges operators of Reserve Primary Fund with fraud

Thu, 07/05/2009 - 14:00

The Securities and Exchange Commission has filed civil fraud charges against the operators of the Reserve Primary Fund, the money market fund that »

SEC charges two in first ever CDS insider trading case

Wed, 06/05/2009 - 13:10

The US Securities and Exchange Commission (SEC) has charged hedge fund manager Renato Negrin and bond salesman Jon-Paul Rorech with insider trading »

SEC freezes assets of investment manager Danny Pang over alleged Ponzi scheme

Fri, 01/05/2009 - 17:24

The Securities and Exchange Commission has obtained an emergency court order freezing the assets of Newport Beach, California-based investment manager Danny Pang and his two companies f »

SEC charges Connecticut-based hedge fund over alleged multi-million-dollar fraud

Wed, 29/04/2009 - 12:57

The Securities and Exchange Commission has obtained an emergency court order to freeze the assets of a Connecticut-based money manager and the hedge funds that he controls, alleging tha »

SEC halts multi-million dollar fraud by Philadelphia investment adviser

Thu, 23/04/2009 - 17:07

The Securities and Exchange Commission has charged a Philadelphia-area investment adviser and its principal with misappropriating millions of dollars in client assets, and has obtained »

SEC settles securities violation charges with Hennessee over Bayou funds investment

Thu, 23/04/2009 - 17:00

The Securities and Exchange Commission has settled securities law violations charges against New York-based investment adviser Hennessee Group and its principal Charles J. »