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Tag: SEC

News
Regulation, enforcement & litigation
$11 Trillions worth of hedge funds, half the industry, is barely disclosing any information to the general public. The SEC, which already has valuable information on...
News
Regulation, enforcement & litigation
NatWest has admitted to market manipulation to the SEC. The guilty admission will cost much more than the $35m fine. It may become the SEC's new policy....
News
Regulation, enforcement & litigation
You always see the glitz around hedge fund portfolio managers - the parties, the mansions, the cars and the boats. It's not always like that. This...
News
Regulation, enforcement & litigation
A San Francisco couple, founders of a legitimate solar panel company, were sentenced to 15 and 30 years in prison for orchestrating a Ponzi related to...
News
Regulation, enforcement & litigation
The good Samaritan William Neil "Doc" Gallagher was actually a Ponzi artist defrauding the Texas Christian community. He has been sentenced to three life sentences plus...
News
Regulation, enforcement & litigation
"Neither admit nor deny" may be removed from SEC settlements. As part of the SEC's new stated intent on deterrence, the agency will start asking again that...
Derivatives
News
Option traders were charged by the SEC for 'painting the tape' on meme stock options after arbitraging exchanges on their Maker-Taker model. Explanations....
Crypto
Investments & markets
You remember our cryptocrook? Quant WizKid, market-neutral hedge fund, Cryptocurrency arbitrage great returns, $90m AUM... Except that it was a Ponzi. His sentence just came out:...
News
Regulation, enforcement & litigation
Virgin Galactic's successful flight may have brought joy to Mr. Branson, but it will also bring some after-party headaches. The entrepreneur and space explorer is accused of...
Derivatives
Investments & markets
Investors are not happy with Infinity-Q, the derivatives hedge fund that had a slight 'mismarking' and is now in a wind-down. We've learnt a few more...