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Recent Posts in Hedge Fund Category

Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions

FINRA fined and suspended former Growth Capital Services, Inc. (San Francisco) broker Kenny Danny Mezher for selling nearly $180,000 in limited partnership interests in an unapproved private security ...
Continue reading "Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions" »

Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme

Former broker Stephen Skeffington Eubanks of Bright Trading, LLC's Las Vegas, Nevada branch received a 30-month prison sentence and $437,609 restitution order after a US District Court found him ...
Continue reading "Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme" »

FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse

FINRA censured and fined Summit Equities, Inc. $325,000 for failing to supervise variable annuity (VA) share class recommendations and for similar supervisory failures related to private securities ...
Continue reading "FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse" »

FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP.

FINRA barred brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP. According to FINRA, the duo's fraudulent conduct included ...
Continue reading "FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP." »

FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm

FINRA suspended Santa Monica, California-based broker Dale Herman Stevens and fined him $5,000 for engaging in an outside business activity without providing notice to his employing firm, Syndicated ...
Continue reading "FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm" »

LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales

FINRA fined LPL Financial LLC $950,000 for supervisory failures that regulators say contributed to violations of concentration rules concerning the sales of alternative investments, including ...
Continue reading "LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales" »

SEC National Exam Program Issues Broker-Dealers Priorities List for 2014

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued examination priorities for 2014 as part of the office's National Exam Program, whose mission ...
Continue reading "SEC National Exam Program Issues Broker-Dealers Priorities List for 2014" »

FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams

FINRA announced its Business Conduct Priorities for 2014 on Thursday, leading off with the issue of suitability of recommendations for complex products. In its discussion about suitability, FINRA ...
Continue reading "FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams" »

SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines

The Securities and Exchange Commission is turning to a new Enforcement strategy: zero in on minor infractions in order to stop large violations from occurring later on. SEC Chairman Mary Jo ...
Continue reading "SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines" »

SEC Lifts Ban on Hedge Fund Ads, Increases Private Placement and Hedge Fund Risk

The SEC lifted its ban on hedge fund and private equity firm advertising after Congress mandated that the Commission allow general solicitation of securities offerings in accordance with its Jumpstart ...
Continue reading "SEC Lifts Ban on Hedge Fund Ads, Increases Private Placement and Hedge Fund Risk" »

SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading

The Securities and Exchange Commission has secured a record $616 million settlement with Steven A. Cohen's hedge fund, SAC Capital Advisors, which is linked with Sigma Capital Management and CR ...
Continue reading "SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading" »
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