US Legal & Regulation

SEC takes steps to curtail abusive short sales and increase market transparency

SEC takes steps to curtail abusive short sales and increase market transparency

The Securities and Exchange Commission has announced several actions designed to protect against abusive short sales and make more short sale infor »


Investor groups urge SEC to require ESG disclosure

Investor groups urge SEC to require ESG disclosure

More than 50 major investment firms and professionals have joined the Social Investment Forum in calling on the Securities and Exchange Commission to require publicly traded companies t »


Florida court fines two for commodity options fraud

Florida court fines two for commodity options fraud

The US Commodity Futures Trading Commission has obtained USD280,000 in civil monetary penalties and equitable relief in consent orders of permanent injunction against Randy Burstein of »


MFA reaffirms support for strengthening regulatory oversight

MFA reaffirms support for strengthening regulatory oversight

The Managed Funds Association has reaffirmed its support for action by federal policy makers intended to reform, strengthen and modernize America's system of financial regulatory oversi »


Obama administration proposes hedge fund registration

Obama administration proposes hedge fund registration

The Obama Administration has announced proposed legislation that would require all advisers to hedge funds and other private pools of capital, including private equity and venture capit »


Florida man charged with USD14m fraudulent commodities scheme

Florida man charged with USD14m fraudulent commodities scheme

The US Commodity Futures Trading Commission has charged Sean Nathan Healy of Weston, Florida, with operating a fraudulent commodities scheme that defrauded at least 44 investors of appr »


California man and company charged with commodity options fraud

California man and company charged with commodity options fraud

The US Commodity Futures Trading Commission has charged David Michael Kogan and his company First Capital Futures Group, both of Sherman Oaks, California, with operating a fraudulent co »


Georgia man charged over multi-million dollar forex Ponzi scheme

Georgia man charged over multi-million dollar forex Ponzi scheme

The US Commodity Futures Trading Commission has charged Eldon A. »


Patrick Dailey charged with operating multi-million dollar fraudulent commodity pool

Patrick Dailey charged with operating multi-million dollar fraudulent commodity pool

The US Commodity Futures Trading Commission has charged Patrick J. »


Headstart settles 2003 dispute with the SEC

Headstart settles 2003 dispute with the SEC

Headstart Advisers, an FSA-regulated hedge fund adviser, and Najy Nasser, its chief investment officer, have settled their dispute with the US Securities and Exchange Commission relatin »


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