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FINRA fines broker-dealer for making improper soft dollar payments for hedge fund

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The Financial Industry Regulatory Authority (FINRA) fined Terra Nova Financial, LLC, of Chicago, $400,000 for making more than $1 million in improper soft dollar payments to or on behalf of five hedge fund managers, without following its own policies to ensure the payments were proper

Hedge fund manager pleads guilty to mail fraud

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

Alexander Trabulse, hedge fund manager for Fahey Hedge Fund and Fahey Financial Group, Inc., both located in San Francisco, Calif., pleaded guilty to mail fraud in the Northern District of California

Former CFO of hedge fund Boston Provident charged with securities fraud

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC charged Ezra C. Levy, former Chief Financial Officer of a New York-based hedge fund, with securities fraud for arranging secret sales of securities from his personal trading account to the hedge fund accounts at inflated prices to generate his own illicit profits

Eichengreen alleged to have defrauded hedge fund

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC issued an order barring William H. Eichengreen from associating with any investment adviser

Hedge fund manager barred from advisory industry

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The SEC brought an administrative action against William A. Huber (Huber) finding that Huber and Hubadex, Inc. (Hubadex), defrauded investors in three pooled investment funds (the Funds) by making false and misleading statements to them about the total assets under management, the returns generated by private funds managed by Huber, and the individual investors’ account balances and gains

Relief by SEC against Randy W. Cho for misappropriation of investors’ funds

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The SEC filed an emergency civil action in the U.S. District Court of the Northern District of Illinois charging Randy W. Cho, a resident of Newton, Mass., with fraudulent conduct

Advisory firm employee sentenced for embezzling more than $1.3 million in client funds

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The SEC announced that Rita White, a former employee of former Boston-based investment advisory firm Veritas Advisors, Inc., was sentenced to two years' imprisonment, followed by three years of supervised release, and was ordered to pay a fine of $25,000

SEC brings a fraud action against adviser involving web sites

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The SEC alleged ongoing investment fraud by Marvel Partners, which had promised guaranteed investment returns of up to 138 over a three-day period

New Mexico man charged with misappropriating millions

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The SEC filed a civil injunctive action against Charles R. Kokesh for his role in defrauding at least 21,000 investors in four business development companies (BDCs) through a variety of schemes and contrivances

SEC Chairman Schapiro states SEC “missed numerous opportunities to discover” Madoff fraud

Sutherland Asbill & Brennan LLP
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USA
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October 2 2009

The SEC released the Executive Summary of the Inspector General’s report on why the agency failed to detect Bernard Madoff’s fraud

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