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Selected Press Releases

Hedge Fund Manager Agrees to Reimburse Investor Losses

01/28/2016

The Securities and Exchange Commission today announced that a Manhattan-based investment advisory firm and its Toronto-based hedge fund manager have agreed to settle charges that they misled investors about a fund’s investment strategy and historical performance. They will reimburse investors $2.877 million in losses.Read more

Ocwen Paying Penalty for Misstated Financial Results

01/20/2016

The Securities and Exchange Commission today announced that Ocwen Financial Corp. has agreed to settle charges that it misstated financial results by using a flawed, undisclosed methodology to value complex mortgage assets.Read more

SEC: Alternative Fund Manager Overcharged Fees, Misled Investors

01/19/2016

The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how it valued certain assets.Read more

SEC: J.P. Morgan Misled Customers on Broker Compensation

01/06/2016

The Securities and Exchange Commission today announced that J.P. Morgan’s brokerage business agreed to pay $4 million to settle charges that it falsely stated on its private banking website and in marketing materials that advisors are compensated “based on our clients’ performance; no one is paid on commission.”Read more

Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case

12/28/2015

The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more than $920,000 to settle an insider trading case against them.Read more