Because the specter of default is omnipresent in the high-yield bond market, investors who trade these securities scour. process involved in reviewing fixed-income securities. Hazelton was a hedge.
SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading. Washington, D.C., March 15, 2013 – The Securities and Exchange Commission today announced that New York-based hedge fund advisory firm Sigma Capital Management has agreed to pay nearly $14 million to settle charges that the firm engaged in insider trading based on nonpublic information.
(HedgeCo.Net) The Securities and Exchange Commission has charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly investors’ retirement savings and pension plans, in risky investments and secretly pocketing hefty commissions from those investments.
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Findley, 35, left the $18 billion firm. hedge funds value bonds that aren’t bought and sold on exchanges, and may go months without trading. The lack of transparency prompts funds to rely on price.
Hedge fund assets jump to record high in second quarter – HFR. Gabrielle Rubenstein follows in father’s footsteps with new firm. The SEC’s review of trade allocation policies would be a.
(Bloomberg) — U.S. securities regulators are reviewing a series of trades involving hedge funds and a Florida mortgage-bond dealer to see if they may have inflated prices for illiquid securities,
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SEC’s hedge fund reviews show advisors keeping trades for themselves. On Friday the SEC published its first "Private Funds Statistics" report, based on data aggregated from a new required.
At issue, the people said, are trades between hedge funds — including Candlewood Investment Group — and United Capital Markets, a brokerage owned by John Devaney.
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SEC Said to Review Bond Trades by Hedge Funds, Devaney’s Firm. SEC Said to Review Bond Trades by Hedge Funds, Devaney’s Firm. U.S. securities regulators are reviewing a series of trades involving hedge funds and a Florida mortgage-bond dealer to see if they may have inflated prices for.