Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Wednesday, March 27, 2013

SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today announced charges against a Houston-based hedge fund manager and his firm accused of defrauding investors in two hedge funds and steering bloated fees to a brokerage firm CEO who also is charged in the SEC’s case.

http://www.onlywire.com/r/121014956

Tuesday, March 26, 2013

SEC Charges California-Based Hedge Fund Analyst and Two Others with Insider Trading

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today charged a California-based hedge fund analyst with insider trading in advance of a merger of two technology companies based on nonpublic information he received from his friend who was an executive at one of the companies.

http://www.onlywire.com/r/120950464

Thursday, March 21, 2013

SEC Charges Rengan Rajaratnam with Insider Trading

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today charged Rajarengan “Rengan” Rajaratnam for his role in the massive insider trading scheme spearheaded by his older brother Raj Rajaratnam and hedge fund advisory firm Galleon Management.

http://www.onlywire.com/r/120686267

Wednesday, March 20, 2013

SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. 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 obtained through one of its analysts about the quarterly earnings of Dell and Nvidia Corporation.

http://www.onlywire.com/r/120621929

Tuesday, March 19, 2013

SEC Charges Financier with Stealing Investor Funds in Purported Offerings of Pre-IPO Facebook Shares

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today announced charges against a financier masquerading as a sophisticated fund manager who defrauded investors seeking to acquire highly coveted pre-IPO shares of Facebook and other social media companies.

http://www.onlywire.com/r/120544011

Friday, March 1, 2013

SEC Seeks Information to Assess Standards of Broker-Dealers

/Brenda Hamilton securitieslawyer101.com Hamilton & Assocaites, Fl. The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and investment advisers when they provide personalized investment advice about securities to retail customers.

http://www.onlywire.com/r/119417856