Judge Richard W Story of the US District Court for the Northern District of Georgia, has entered an emergency order freezing the assets of defendants Robert A Christy of Milton, Georgia, and his company Crabapple Capital Group LLC (Crabapple) of Alpharetta, Georgia. The
The US Commodity Futures Trading Commission (CFTC) has issued an order settling charges that PassThrough Investments, LLC (PTI) (aka PassThrough Investments Group, LLC), and its principals, Stephen Brantley and Dwayne Bryant Dawson, all of Spring, Texas, fraudulently solicited and accepted at least USD2.6 million from at
Florida resident Juan Carlos Horna Napolitano has been sentenced to 14 months imprisonment, followed by two years supervised release, for his role in conspiring to obstruct a Securities and Exchange Commission investigation relating to Francisco Illarramendi, a Connecticut hedge fund
Developing trends – Recent SEC investigations into hedge funds, investment advisers, officers, directors, and political intelligence firms have been indicative of two separate trends that are currently shaping SEC enforcement decisions. One, under the leadership of Chair Mary Jo White,
The US Commodity Futures Trading Commission has charged Robert D. Watson, an executive professor at Texas A&M University, Daniel J.
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
The US CFTC has issued an order against Lloyds Banking Group and Lloyds Bank, bringing and settling charges for acts of false reporting and attempted manipulation of the London Interbank Offered Rate (LIBOR) for Sterling, US Dollar and Yen. The order finds
The Securities and Exchange Commission announced that on 14 September 2011, the Honourable Lawrence E Kahn, United States District Court Judge for the Northern District of New York, entered a default judgment against Defendants Christopher W. Bass, Swiss Capital Harbor-USA,
Hedge funds are beginning to take advantage of new communications channels one year after the enactment of the JOBS Act, according to a Peppercomm study. "The JOBS Act is working by removing grey areas surrounding hedge fund communications and enabling
The Securities and Exchange Commission has adopted amendments to the rules that govern money market mutual funds (MMFs), making structural and operational reforms to address investor risk while preserving the benefits of the funds. The rules build upon the reforms
