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Hedge Fund

August 01, 2018 Kenny Mezher Sanctioned for Unapproved Crescent Ridge Volatility Fund Transactions
January 17, 2020 Citigroup, YieldStreet Plans Risky Hedge Fund Product for Retail Customers
July 13, 2017 Stephen S. Eubanks Sentenced to Prison, Ordered to Pay Restitution for Wire Fraud Scheme
May 04, 2017 FINRA Fines Summit Equities $325,000 for Variable Annuity-related Supervisory Failures, IME Fund Collapse
February 12, 2016 FINRA bars brokers Timothy Stephen Dembski and Walter Francis Grenda for fraud related to sales of Prestige Wealth Management Fund, LP.
June 25, 2014 FINRA Bars Dale Herman Stevens for Serving on Hedge Fund Board without Disclosing Financial Interest to Firm
March 25, 2014 LPL Financial Fined $950,000 for Concentration Violations in Alternative Investments, Non-Traded REITs Sales
January 23, 2014 SEC National Exam Program Issues Broker-Dealers Priorities List for 2014
January 03, 2014 FINRA to Target Complex Investments Including REITs, ETFs and Mortgage Backed Securities in 2014 Exams
October 15, 2013 SEC: Small Violations Can Lead to Strong Enforcement, Sanctions, and Fines
July 30, 2013 SEC Lifts Ban on Hedge Fund Ads, Increases Private Placement and Hedge Fund Risk
March 17, 2013 SAC Capital Lawsuit Settled; Firm to Pay Record $616 Million for Insider Trading