... Connecticut-based hedge fund manager after it discovered he lost $1.8 million in client assets from allegedly engaging in risky investment practices. According to a cease-and-desist order from the ...
The Securities & Exchange Commission is barring a Fairfield hedge fund manager, after an SEC probe determined he squandered $1.8 million in client money through risky investments practices. Matthew J. ...
barred a hedge fund adviser, Owen Li, from the securities industry for making a series of false statements to investors and ultimately precipitating a fund’s collapse. Li was portfolio manager of a ...
WILTON, CT --- The manager of a Stamford hedge fund and Wilton resident, Steve Simmons, has been barred by the Securities and Exchange Commission indefinitely from acting as a broker or assuming other ...
Li, a portfolio manager of Canarsie Capital Fund Master LP, a hedge fund, made false statements to investors and prospective investors about his personal investment in the fund, the SEC said in a ...
Law360, New York (February 8, 2016, 2:13 PM EST) -- A New York federal judge said Monday he would grant the U.S. Securities and Exchange Commission's request for a $1 million judgment against an ...
Star hedge fund manager ... SEC’s complaint, filed in federal district court in Philadelphia, seeks disgorgement of ill-gotten gains plus interest and penalties. It also seeks permanent injunctions ...
The day after Christmas, a hedge fund manager who made the remarkable promise ... Meyer refused, the regulator said in a Jan. 17 court filing. Now, SEC attorneys are seeking an injunction to bar Meyer ...
The case against Cohen, an American living in London, grew out of a sprawling scandal that has proven costly for Och-Ziff, one of Wall Street’s most prominent hedge-fund management firms. ...
The Securities ... hedge fund. Wilton resident Steve Simmons was sentenced earlier this month to three years in prison starting in late June, after pleading guilty last October to embezzling money ...
(Reuters) - The U.S. Securities and Exchange Commission said on Wednesday it barred hedge fund adviser Owen Li from the securities industry for making false ... Li, a portfolio manager of Canarsie ...