Tag Archives: investor-protections
SEC advances pair of hedge fund cases
Forbes – A federal judge in Florida ruled Wednesday that the head of two hedge funds deceived investors about the funds’ holdings. Elsewhere, federal regulators accused a California investment adviser of making tainted recommendations to clients. In the Florida case, […]
Stanley Shopkorn, Ex-Moore Equities Chief, to Start Hedge Fund
Bloomberg – Stanley Shopkorn, a former head of equities trading at Louis Bacon’s Moore Capital Management LLC, plans to open a global stocks hedge fund, according to a person with direct knowledge of the matter. Hilltop Park Fund LP, based […]
SEC Publishes Text of Rand Report on Investment Adviser
Washington, D.C., Jan. 3, 2008 – The Securities and Exchange Commission has received and posted on its Web site the text of the RAND Corporation’s final report on practices in the investment adviser and broker-dealer industries. The Commission has been […]
