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26 Feb 2010, 8:56 am
Larry Breuer used the example of the recent investigation and prosecution regarding the Galleon hedge fund insider trading case and another case where 22 people were charged under the Foreign Corrupt Practices Act ("FCPA"). [read post]
27 Jul 2011, 7:14 am
As the Opinion notes, 'from the legal ethics perspective, perhaps the greatest concern stems from a financing company’s involvement in the details of a claimant’s case.'" As the Wall Street Journal notes: "Banks, hedge funds, and other firms are investing millions into others’ suits in the hopes of getting a sizable return if the borrowers score a favorable settlement or verdict. [read post]
23 Mar 2016, 4:19 pm
As discussed in a March 18, 2015 Bloomberg article entitled “Hedge Fund Betting on Lawsuits is Spreading” (here), Paul M. [read post]
28 Mar 2012, 8:03 am
Investors use the TVIX to hedge stock portfolios. [read post]
18 Jan 2018, 4:26 am
The pending customer dispute that gives rise to the investigation concerns a number of high risk private placements into oil and gas investments, as well as private equity, including Nytrox and the Alvery Bartlett Hedge Fund. [read post]
18 Jan 2018, 4:26 am
The pending customer dispute that gives rise to the investigation concerns a number of high risk private placements into oil and gas investments, as well as private equity, including Nytrox and the Alvery Bartlett Hedge Fund. [read post]
3 Jul 2023, 5:10 am
The whistleblowers had raised concerns about crypto currency price manipulation, that the hedge fund Alameda was “an extension of FTX,” and governance and regulatory issues such as concerns about the lack of money transmitter licenses for certain disbursements by Alameda-linked entities.The case is No. 22-11068. [read post]
21 Jun 2011, 7:46 am
Three hedge fund employees have previously pled guilty to similar charges, as did an insider at the finance department of one of the publicly traded companies. [read post]
24 May 2021, 6:31 am
The attorneys at Gana Weinstein LLP have been receiving investor complaints concerning advisors recommending what the advisors call hedge or bear market products to the investors causing large investor losses. [read post]
14 Dec 2022, 5:12 am
Attorney General Merrick B. [read post]
5 Dec 2007, 6:40 pm
The firm also allegedly allowed two hedge fund clients to continue market timing from April 2001 through April 2002 and circumvented efforts by mutual fund companies to prevent this type of trading. [read post]
18 Oct 2009, 5:36 pm
We always recommend that registered IA firms discuss any registration and compliance related matters with an experienced investment management attorney with detailed knowledge of the laws of the state where the firm is registered. **** Other related hedge fund law articles: Hedge Funds and Insider Trading Hedge Fund Laws IA Registration Tips How to register as an Investment Advisor New Hedge Fund Regulation Investment… [read post]
22 Nov 2010, 11:14 am
In hedge fund investing, the analogy could be the use of these outside consultants that allegedly provide hedge funds with non-public information. [read post]
27 Jun 2017, 7:18 am
By May 2011, Mustaphalli moved the hedge fund’s account to Interactive Brokers. [read post]
9 Dec 2008, 2:20 pm
In a nutshell, Dreier allegedly sold about $113.5 million in bogus promissory notes purportedly issued by a real estate developer to two hedge funds. [read post]
12 Feb 2010, 7:36 am
The award by the securities industry arbitration panel is the first ruling in favor of an investor in one of two now defunct Bear hedge funds since a jury acquitted the funds' former managers of criminal charges in November. [read post]
2 Mar 2019, 8:30 am
After the board placed Puerto Rico in a bankruptcy like process, many hedge funds and institutional corporate investors were unhappy as their investments were now in jeopardy. [read post]
10 Jan 2011, 4:01 pm
She gets the interesting (and noble) job of a federal prosecutor, but with the lavish lifestyle of a hedge fund wife. [read post]
2 Aug 2013, 1:40 pm
As has been widely reported, Criminal charges were filed against SAC Capital Advisors LP, with accusations that the hedge-fund firm is guilty of a decade long "scheme" of insider trading. [read post]
20 May 2011, 8:06 am
California Extends IA Exemption for Hedge Fund Managers in Hedge Fund Law Blog California currently has an exemption from the registration requirements for certain fund managers with more than $25M of AUM (Rule 260.204.9). [read post]
