2011 – Page 2 – SEC ACTIONS

FSA BANS TWO HEDGE FUND MANAGERS FROM SECURITIES BUSINESS

Posted on August 17, 2011 by T. Gorman Posted in SECActions

The FSA has banned the former CEO and CFO of a collapsed hedge fund from the securities business and imposed significant fines on each as a result of their manipulative and deceptive conduct as the fund collapsed. Michael Weiger Visser …

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Tagged with: FSA, hedge funds, manipulation

ANOTHER GUILTY PLEA IN AN INSIDER TRADING CASE

Posted on August 16, 2011 by T. Gorman Posted in SECActions

Insider trading continues to be a key focus of enforcement authorities who obtained another guilty plea from a hedge fund portfolio manger tied to an expert network. The latest plea was by Joseph Skowron, formerly a portfolio manager at FrontPoint …

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Tagged with: expert network, expert networking firm, hedge funds, Insider trading

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Year: 2011

FSA BANS TWO HEDGE FUND MANAGERS FROM SECURITIES BUSINESS

ANOTHER GUILTY PLEA IN AN INSIDER TRADING CASE