Tagged with "hedge fund"

QED Benchmark Management Agrees to Reimburse Investor Losses

Posted on February 18th, 2016 at 12:37 PM
QED Benchmark Management Agrees to Reimburse Investor Losses

On January 28th the Securities and Exchange Commission announced that a Manhattan based investment advisory firm, along with its Toronto based hedge fund manager, has settled charges involving the issuance of misleading information to investors regarding strategy and past performance.

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California Man Is Charged in a $5.5 Million Hedge Fund Ponzi Scheme

Posted on January 26th, 2015 at 10:30 AM
California Man Is Charged in a $5.5 Million Hedge Fund Ponzi Scheme

Geoffrey Nehrenz, an investment adviser, was charged with defrauding 19 investors out of $5.5 million in a Ponzi scheme involving a hedge fund.

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LATEST NEWS AND ARTICLES

September 22, 2023
State Regulators Maintain Opposition to FINRA's Remote Supervision Pilot Program

The North American Securities Administrators Association (NASAA) and the Public Investor Advocate Bar Association (PIABA) has consistently opposed the Financial Industry Regulatory Authority's (FINRA) proposal for a voluntary three-year pilot program for remote inspections.

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).