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
The US Commodity Futures Trading Commission (CFTC) has filed a notice of intent to revoke the registrations of Illinois resident Joseph A Dawson (Dawson) and his company, Strategic Research LLC (SR), a registered Commodity Pool Operator (CPO). Dawson is the president and sole
The US Commodity Futures Trading Commission (CFTC) has issued an exemptive letter which provides relief from certain provisions restricting marketing to the public. This exemptive letter harmonises certain regulations, which, as amended by the Securities and Exchange Commission (SEC) pursuant
The Securities and Exchange Commission (SEC) has charged James F Turner II and his New Jersey-based hedge fund firm Clay Capital Management, LLC with engaging in an insider trading scheme that involved the securities of three companies – Moldflow Corporation,
The US Commodity Futures Trading Commission has charged SNC Asset Management, SNC Investments, chief executive officer Peter Son, and chief financial officer Jin K.
The US Commodity Futures Trading Commission (CFTC) has issued a no-action letter stating that it will not take enforcement action against the clearing house of the Chicago Mercantile Exchange. This also includes certain clearing members of CME Clearing and depositories
The US Commodity Futures Trading Commission has announced that a federal district court has ordered Anthony Ramunno, Jr.
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
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
The Commodity Futures Trading Commission (CFTC) has filed and simultaneously settled charges that Roy Scarboro, Jr of Archdale, NC, fraudulently solicited approximately USD713,000 from customers to trade off-exchange foreign currency (forex). The CFTC order also finds that Scarboro misappropriated
