Additional Charges Filed In Insider Trading…

SEC Charges Four Individuals in a Microcap…

Fed minutes could reveal what officials are…

(HedgeCo.Net) The Securities and Exchange Commission charged Charles Nilosek, a Massachusetts-based external sales agent for Woodbridge Group of Companies LLC, with illegally selling Woodbridge securities to retail investors while acting as an unregistered broker. According to the complaint, Nilosek was []

(HedgeCo.Net) The Securities and Exchange Commission has charged Mark Christian Ramsey for participating in an insider trading scheme perpetrated by a professional football player and former investment banker previously charged by the SEC for insider trading. In August 2018, the []

(HedgeCo.Net) Ishmail Calvin Ross of Canoga Park, California according to an SEC complaint, secured but hid control of Green Cures behind a figurehead CEO and a front company created by Ross and Jessica Snyder of Avondale, Arizona. At []

(HedgeCo.Net) The U.S. Securities and Exchange Commission filed settled charges against five individuals for orchestrating a fraudulent pump-and-dump scheme involving multiple penny stocks. The SEC alleges that between May 2011 and May 2017, Andrew I. Farmer of Katy, Texas, Scott []

The Securities and Exchange Commission has filed fraud charges against Collectors Caf, an online auction portal, and its chief executive officer, Mykalai Kontilai, for misappropriating over $6 million of investor funds in a $23 million offering fraud. The SEC obtained []

(HedgeCo.Net) Jurors in Manhattan federal court have returned a verdict in the Securities and Exchange Commissions favor against a brokerage firm and two of its executives. The SEC charged the brokerage firm, Portfolio Advisors Alliance Inc. (PAA), Howard J. Allen, []

(HedgeCo.Net) The Securities and Exchange Commission is proposing a new package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants. The proposals are intended to improve the regulatory framework by []

(HedgeCo.Net) The U.S. District Court for the District of Oregon entered a final judgment against Robert M. Morano ordering him to pay a $75,000 insider trading penalty, which represents approximately two times the amount of Moranos illegal trading profits. The []

(HedgeCo.Net) A federal district court entered a final consent judgment against a broker who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers accounts, which enriched the broker at the customers expense. The SECs complaint, []

(HedgeCo.Net) insider trading charges were filed against two internal auditors who repeatedly traded and tipped on confidential information that they obtained through their respective employers. The SECs complaint, filed in the U.S. District Court for the Western District of Tennessee, []

(HedgeCo.Net) The Securities and Exchange Commission today announced settled insider trading charges against a Nevada man who obtained confidential information about a pending corporate merger from a lifelong friend and used it to generate more than $250,000 in illicit trading []

(HedgeCo.Net) A federal district court has entered a final consent judgment against a broker who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers accounts, which enriched the broker at the customers expense. The SECs []

(HedgeCo.Net) The Securities and Exchange Commission has charged a New Hampshire-based company and its former CEO with misleading investors about the companys ability to supply sapphire glass for Apples iPhones. The company, GT Advanced Technologies Inc., also is found to []

(HedgeCo.Net) The Securities and Exchange Commission charged Christopher D. Dougherty and several entities he controlled, with operating a Ponzi scheme that defrauded his investment advisory clients out of $7 million. The San Diego District Attorneys Office separately announced criminal charges []

(CNBC) Stocks pulled back on Wednesday as trade worries increased while declines in Qualcomm and retailer shares also dampened market sentiment. The Dow Jones Industrial Average fell 100.72 points to 25,776.61 as Apple lagged. The SP 500 slipped 0.3% to []

(CNBC) When the Fed releases minutes of its last meeting on Wednesday afternoon, it risks sounding a bit hawkish. Going into that meeting three weeks ago, the Fed and the markets clearly held different views on whether the central bank []

(Reuters) Funds that built big short positions in Italys leading banks from early 2018 have lowered the size of their bets in the last few months as political worries eased, regulatory data shows. Despite a looming budget showdown between []

(Hedgeweek) The SSC GlobeOp Forward Redemption Indicator for May 2019 measured 3.21 per cent, up from 2.51 per cent in April. To read this article:

SEC Chair Mary Jo White, in a recent speech reflecting on the first 5 years of private fund sponsor registration, highlighted private fund operational and compliance risks that will draw SEC attention. Ms. White underscored three specific operational risks: client []

U.S. District Judge Ronnie Abrams handed down an important decision affecting the SECs controversial practice of bringing insider trading enforcement actions in the form of in-house administrative proceedings instead of as civil court actions. In a 23-page opinion, Judge Abrams []

New York ) Pinnacle Capital Management (PCM) was founded in 2006 and is an investment-management firm catering to individual and institutional investors. Headquartered in Fayetteville, New York, PCM is registered with the US Securities Exchange Commission. In 2012, PCM []

AMHERST, MASS. (May 14, 2015) The Chartered Alternative Investment Analyst (CAIA) Association, a global leader in alternative investment education, is announcing the launch of its newest Chapter: CAIA Cayman Islands. CAIAs 22nd global chapter, CAIA Cayman Islands will support []

SEC Charges Unregistered Broker Who Sold Woodbridge Securities to Retail Investors

Stocks slide amid trade worries, Qualcomm leads tech lower

Fed minutes could reveal what officials are thinking about a possible insurance rate cut

Foreign funds loosen bearish bet on big Italian banks

SS&C GlobeOp Forward Redemption Indicator at 3.21 per cent for May