US Legal & Regulation

SEC settles with investment adviser for taking warrants paid by hedge fund clients

Thu, 05/03/2009 - 16:59

The Securities and Exchange Commission has announced an enforcement action against Los Angeles-based investment adviser M.A.G. Capital and its president and sole owner, David F. »

Anthony Ramunno and Renaissance Asset Management fined over USD21m Ponzi scheme

Tue, 03/03/2009 - 12:58

The US Commodity Futures Trading Commission has announced that a federal district court has ordered Anthony Ramunno, Jr. »

SEC charges unregistered hedge fund with fraud

Mon, 02/03/2009 - 16:50

The Securities and Exchange Commission has charged a New York investment management firm and its principal for operating a large-scale scheme that defrauded hundreds of investors of mil »

CFTC charges Florida firm with defrauding customers in commodity options scam

Mon, 02/03/2009 - 12:44

The US Commodity Futures Trading Commission has filed an enforcement action against Zurich Futures & Options and Michele LaBruce, both of Hollywood, Florida. »

CFTC charges fund manager with misappropriating Paamco fraud payout

Fri, 27/02/2009 - 07:01

The Commodity Futures Trading Commission has filed an action in the US District Court in the Southern District of New York against New York City fund manager Mark Evan Bloom and his fir »

Two New York residents charged for misappropriating USD554m

Thu, 26/02/2009 - 16:49

The Securities and Exchange Commission has obtained an asset freeze against two New York residents and their three affiliated entities, who orchestrated an investment fraud involving th »

US court order freezes assets of Illinois commodity pool operator

Tue, 24/02/2009 - 07:00

The US Commodity Futures Trading Commission has obtained a federal court order freezing the assets of an Illinois commodity pool operator, Brookshire Raw Materials Management, and its p »