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5 Jul 2010, 11:45 am
Page 11 State Lawyer Effectively Pushed Out poor communication between the former director and an attorney resulted in the exclusion of the attorney from a decision on how a case would be handled, even though the attorney had been involved in the case for a number of months. [read post]
1 Oct 2008, 11:29 pm
Many hedge funds utilize short-selling for exactly this purpose, using shorting to offset potential losses from stocks on which these hedge funds have gone long.[8] III. [read post]
16 Apr 2020, 4:55 am
Registration is similar to the requirements for Section 4(3) Funds, including the ‘four-eyes’ principle that necessitates funds to have at least two natural persons in management roles. [read post]
10 Mar 2011, 3:41 am
Id. at 2 (citing Oppenheimer Fund, Inc. v. [read post]
24 Jul 2023, 11:28 am
Hedge Funds: Hedge funds are investment funds that are typically only available to accredited investors. [read post]
24 Sep 2010, 7:00 am
Goldman Sachs failed to disclose to investors vital information about the CDO, in particular the role that a major hedge fund played in the portfolio selection process and the fact that the hedge fund had taken a short position against the CDO. [read post]
20 Oct 2009, 3:27 pm
Last Friday, the SEC brought civil charges against billionaire Raj Rajaratnam and others for what investigators call the largest hedge fund insider trading scheme ever. [read post]
28 Sep 2009, 7:50 am
If the individuals were 35 year old hedge fund managers, as opposed to 16 year old students, would the Queens district Attorney's Office still be charging this case as a Reckless Endangerment in the Second Degree with the same set of facts? [read post]
25 Sep 2018, 9:30 am
SEC Charges Two Brokers With Defrauding Customers, September 10, 2018 Investor Alert: Excessive Trading at Investors’ Expense, SEC, January 9, 2017 Jovannie Aquino, BrokerCheck More Blog Posts: Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners, September 20, 2018 Investors Suing UBS Puerto Rico Over Closed-End Fund Losses Are Denied Class… [read post]
4 Sep 2015, 11:55 am
Double B and Bridge 2 Blue planned to aggregate the rental properties into a fund, which would then be sold to Wall Street hedge funds. [read post]
18 Jul 2014, 10:40 am
According to the IRS FBAR Reference Guide, foreign hedge funds and private equity funds are generally not reportable on the FBAR. [read post]
19 Mar 2013, 11:22 am
We recommend that managers have their attorney, in-house counsel or compliance consultant review all materials meant for distribution prior to distributing them, and that managers retain these materials and backup information in their files. **** Cole-Frieman & Mallon LLP provides a full suite of legal and advisory services to hedge fund managers and the investment management industry. [read post]
15 Sep 2010, 4:12 pm
In Jana Master Fund, Ltd., the plaintiffs (collectively “Jana Funds”), four hedge funds that buy up debt securities of distressed or insolvent issuers, purchased a series of notes issued by Sons of Gwalia (“Gwalia”). [read post]
13 Nov 2012, 8:50 am
Judd Bagley claimed that Overstock's internet pretexting scheme was designed to unveil connections between hedge funds and the journalists who write about them. [read post]
22 Mar 2012, 12:06 pm
Hedge funds have traditionally been willing to explore new territory in the non-traditional investment sphere. [read post]
11 Sep 2015, 4:16 am
Hedge fund managers, lawyers, board members, or other professionals who handle client or investor money can be accused of misappropriating those funds for their own gain. [read post]
1 Oct 2018, 6:37 am
Thereafter, in May 2018 a customer filed a complaint alleging that between 2013 and 2017, the advisor recommended unsuitable, speculative investments in the advisor’s own business, a hedge fund, oil and gas partnerships, and a real estate investment trust and that some of these investments were unregistered securities. [read post]
18 Jul 2007, 9:40 pm
To learn whether our firm can assist you, contact us to arrange a free consultation with one of our attorneys. [read post]
7 Aug 2018, 6:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
1 Jun 2010, 7:53 am
These days, the wealthy dabble in such ventures as multi-tiered partnerships, trust arrangements, private equity and hedge funds and private foundations, and to make matters more complicated, half of these may be in foreign countries. [read post]
