Posts Tagged ‘SEC’

Hedge Fund News: Paul Singer, SG Capital Management, Citigroup Inc. (C)

Paul Singer ELLIOTT MANAGEMENT
Editor’s Note: Related Tickers: II-VI, Inc. (NASDAQ:IIVI), Westpac Banking Corporation (ASX:WBC), UBS AG (USA) (NYSE:UBS), Deutsche Bank AG (USA......(read more)

Johnson & Johnson (JNJ), PepsiCo, Inc. (PEP): Go Beyond Large-Cap ETFs For Dividends

Johnson & Johnson (NYSE:JNJ)
A hallmark of many of the most popular dividend ETFs focused on U.S. equities is that these funds are usually tilted heavily toward large-cap stocks.......(read more)

Seeing Double: Rajaratnam’s Bro Just Charged With ‘Illegal’ Insider Trading

Raj Rajaratnam, sentencing, hedge fund, insider trading, prison
In any given year, there are more than 200,000 insider transactions filed with the SEC, though just a fraction of these (usually less than 10) are actually......(read more)

Physical Copper ETFs? Not So Fast

GLD vs. SLV: 2012 In Review
For more than two years now, issuers like JP Morgan and iShares have been battling to bring physically-backed copper ETFs to the markets. At first glance......(read more)

First Trust Files For Unique Commodity ETF

First Trust Files For Unique Commodity ETF
As the ETF world has continued to flourish, issuers have been trying to find new ways to segment their favorite asset classes. Commodity ETFs in particular......(read more)

Rare Earths Get Run Over

Bearish options active on Molycorp Inc (MCP) as shares nosedive
For commodity investors looking to diversify their holdings, rare earth/strategic metals have presented several potentially lucrative opportunities over......(read more)

Buy these 3 Stocks For a Lot Less than What Insiders Paid

Buy these 3 Stocks For a Lot Less than What Insiders Paid
Profiting from insider moves can be quite tricky. This is because insider transactions tend to affect the stock price quickly — first from insider......(read more)

Find Shelter From The Fiscal Cliff With These ETFs

WisdomTree Investments, Inc. (NASDAQ:WETF)
It is out there looming, stalking, waiting to pounce. It being the fiscal cliff, the highly undesirable situation under which expiring tax cuts are not......(read more)

Hedge Fund News: George Soros, Steven Cohen, John Paulson

SOROS FUND MANAGEMENT
Soros tells Germany to lead or leave euro (IFAMagazine) Billionaire investor and philanthropist George Soros made some bold statements in an interview......(read more)

Warren Buffett News: Buffett’s Prize for Kids

Warren Buffett
Buffett’s prize for kids: Berkshire stock (CNN) Fifteen school children have won a prize that would make a lot of grown-ups envious — shares......(read more)

Hedge Fund News: Philip Falcone, Nelson Peltz, Carl Icahn

HARBINGER
Falcone’s Harbinger Capital Turns to Dell’s MSD for Loan (Businessweek) Philip Falcone’s hedge fund, having taken out a loan earlier this year at......(read more)

JOBS Act Accidentally Relaxes Hedge Fund Rules

Tai Nguyen insider trading
President Obama recently enacted into law the Jumpstart Our Business Startups Act, or more commonly known as the JOBS Act. Its main aim is to create more......(read more)

SEC Expands Insider Trading Charges Against Rajat Gupta

Rajat Gupta
The SEC have expanded their insider trading case against Rajat Gupta, “charging him with passing tips to convicted hedge fund manager Raj Rajaratnam......(read more)

SEC isn’t Interested in Einhorn’s ‘Insider Dealing’ with Punch

GREENLIGHT CAPITAL David Einhorn
Insider trading has been a hot topic in the finance world. Over the last year, the Securities and Exchange Commission (SEC) has fined or charged dozens......(read more)

Schimel’s Diamondback Capital Will Not Face Criminal Charges

George Canellos
“Diamondback Capital Management, one of the largest hedge funds ensnared by the government’s insider trading crackdown, will not face criminal......(read more)

SEC Widens Investigative Net to Catch Fund Fraud

Bernard Bernie Madoff
The SEC is upping its game against hedge funds with returns too good to be true, reports the Wall Street Journal. “There is serious fraud in this......(read more)

Jim Chaos And Dan Loeb’s Lawuit, SEC After Hedge Funds, Jim Roger And Seth Klarman’s Interview

Jim Chaos And Dan Loeb’s Lawuit, SEC After Hedge Funds, Jim Roger And Seth Klarman’s Interview
Kynikos, Third Point Are Dismissed From $8 Billion Fairfax Suit (Bloomberg) James Chanos’ Kynikos Associates LP and Daniel Loeb’s Third Point LLC......(read more)

Fortress’ Daniel Mudd Sued by SEC for Work at Fannie Mae

Daniel Mudd
Daniel Mudd, the chief executive of Fortress Investment Group, “was clouded by the government investigations into his previous employer” reports......(read more)

Harbinger’s Falcone in SEC Crosshairs

Phil Falcone, Harbinger Capital
Fund manager Phil Falcone is under the gun. The SEC filed Wells notices on Falcone and his hedge fund Harbinger Capital Partners on Friday, indicating......(read more)

Harbinger’s Spectrum Rates BB-, Skybound in HK, Oil Falls Back

Phillip Falcone, Harbinger
Fitch Assigns Initial Ratings of ‘BB-’ to Harbinger Capital’s Spectrum (MarketWatch) Fitch also assigns a ‘BB-’ rating to......(read more)

SEC Scolded, Wilcox Launch, MF Global FBI, SEF Case Dismissed

Mary Schapiro, SEC Chairman
SEC Scolded Over Records (WSJ) An internal watchdog slapped the Securities and Exchange Commission on the wrist for its now-discontinued policy of discarding......(read more)

Hastings Sells, Vanquish Loses, Yahoo Buys, Transocean Indemnity

Netflix Inc (NASDAQ:NFLX)
Netflix CEO Reed Hastings Sells His Stock in the Company (YCharts) As the bloodbath for Netflix (NFLX) investors carries on, perhaps the CEO could boost......(read more)

Andrey Hicks Scam, Ackman Advice, Hedge Funds Bet on Soccer

Andrey Hicks
Andrey Hicks Scams $1.7 million with Fake Hedge Fund (Barrons) Fifty-four years after Sputnik, the American public finally gets the message: Math is way......(read more)

Raj Rajaratnam Faces New Insider Trading Charges

Raj Rajaratnam
Raj Rajaratnam is in hot water again. The SEC filed new charges against him on Wednesday “after first charging him with insider trading in October......(read more)

Hedge Funds Asia, SEC Finra, Goldman Sachs Sued, Fund Exposure

George Soros
Hedge Funds Shift Focus to Asia (Economist) ERIC WONG, who helps run his Hong Kong family’s money through an investment office, TCG Capital, looks like......(read more)

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