SEC

SEC Sues Priest/Hedge Fund Manager for Stock Manipulation

September 18, 2018 James Heinsman Hedge Fund News

The SEC filed a suit against Emmanuel Lemelson, a Massachusetts priest who also works as a hedge fund manager, for publishing false “research reports” in order to push the share price of Ligand Pharmaceuticals, Inc, down. The suit accuses Lemelson and his firm Lemelson Capital Management, of publishing misleading/false reports on popular investing websites like […]

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Emmanuel Lemelson, Lemelson Capital Management, Ligand Pharmaceuticals, SEC, stock manipulation,

The JOBS Act Means More than Ads for Hedge Funds

January 15, 2014 Debbie Jacobs Hedge Fund News

With the passage of the JOBS Act, the legislation which allowed hedge funds to advertise, there was an expectation that the public would have seen advertisements from funds during the holiday season, or at least a spot during the Super Bowl. Neither of these possibilities materialized, and some observers are asking why not? Brooke Harlow, […]

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Brooke Harlow, JOBS Act, SEC,

Small Investors Have Window Into Larger Fund’s Activities with 13F Filings

September 4, 2013 Debbie Jacobs Hedge Fund News

According to a regulatory filing by Investor’s Soros Fund Management, George Soros, fund manager, sold off 7.85 million shares of US Airways Group Inc during the second quarter of 2013. The decision to sell was well-timed; on Tuesday the US Justice Department prevented a proposed merger of US Airways with AMR Corp, the parent company […]

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George Soros, Leon Cooperman, Omega Advisors, Patrick McCormack, SEC,

What Companies and Investors Should Expect from the JOBS Act

August 12, 2013 James Heinsman Hedge Fund News

The JOBS Act, (Jumpstart Our Business Startups) was signed into law in April, 2012 by President Barack Obama. This ground-breaking legislation removes the prohibition on general solicitation of investors for several types of investment options. Last month the Securities and Exchange Commission adopted the rules of the JOBS Act, which are scheduled to go into […]

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Brooke Harlow, D. Brooke Harlow, JOBS Act, Luis A. Auilar, Managed Funds Association,

What are Hedge Funds?

July 22, 2013 Maria Morales In the News

Now that hedge funds are allowed to advertise by the SEC it is probably a good idea to review exactly what is a hedge fund. According to Wikipedia a hedge fund “is a collective investment, often a limited partnership, which invests private capital speculatively to maximize capital appreciation.” A good clue to understanding what hedge […]

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advertising, Hedge Funds, return, risk, SEC,

Consumers Should Practice Caution as Hedge Funds Gear Up to Advertise

July 17, 2013 Ryan James Hedge Fund News

Now that the Securities and Exchange Commission is giving the green light to hedge funds to advertise, investors should proceed through that light with caution. It is no accident that the SEC forbade hedge funds from advertising to the general investing public: hedge funds are no place for the faint-hearted, or risk adverse. Yes, it’s […]

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advertising, Hedge Funds, SEC,

Dodd-Frank, Hedge Fund Registration and the SEC

April 25, 2013 James Heinsman Hedge Fund News

Ever since the enactment of the Dodd-Frank legislation there are new requirements for hedge fund registration, effecting the entire hedge fund industry. There are several important issues of concern under the Advisers Act, including fees, conflicts of interest, and hedge fund risk management, which need to be addressed by hedge funds today. Dodd-Frank also has […]

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Dodd-Frank, Hedge Fund Industry, hedge fund registration, hedge fund risk management, Hedge Funds,

Former Giant Stark Investments Closing Shop

April 14, 2013 James Heinsman Hedge Fund News

After twenty years of managing other people’s money, the one-time mega firm, Stark Investments, is winding down its operations and getting out of the money-management business. The financial crisis, recession, client redemptions and other influences have convinced the managers at this Wisconsin-based hedge fund that closing down is a better answer than continuing to flounder. […]

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Alpha Investmetn Consulting Group, Matt Rose, Michael Keough, Racon Capital Partners, SEC,

Hedge Funds May Soon Be Allowed to Advertise

September 2, 2012 James Heinsman In the News

The U.S. Securities and Exchange Commission put forth a motion today that may allow hedge funds to conduct advertising campaigns. In the past, the firms were only allowed to attract individual investors through private negotiations. Commissioners from the SEC voted 4-1 in favor of encouraging public comment on a proposal for removing the limitations on […]

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Hedge Fund Advertisement, Hedge Funds, Mary Schapiro, SEC, U.S. Securities and Exchange Commission,

Opposition Delays Sweeping Changes to Money Market Fund Regulations

August 23, 2012 James Heinsman In the News

Mary L. Schapiro, the chairwoman of the Securities and Exchange Commission, is struggling to bring monumental changes to the way money market mutual funds are regulated. Her plans to vote on her vision this coming week needed to be side-lined when Schapiro realized that 3 of the 5 commissioners were planning on voting against her […]

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Luis A. Aguilar, Mary L. Schapiro, money market mutual funds, SEC,

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