Browsing: Blog

Sino-Forest Part 3: Downgraded only to see investors come its way

07/20/2011
New York – Despite Moody’s downgrade to B1, Sino-Forest’s stock has an avid buyer in Richard Chandler’s Mandolin Fund. A report published in June by short seller Muddy Waters caused the ...

PGR-Related Sentencing Begins

07/19/2011
The sentencing of insider trading cases involving Primary Global Research (PGR) has begun.  Daniel DeVore, an expert affiliated with PGR who cooperated with prosecutors was sentenced to disgorge the payments ...

SEC Fines Janney for Compliance Violations

07/18/2011
New York, NY – Last week, the Security and Exchange Commission settled charges with Philadelphia-based investment bank, Janney Montgomery Scott, for failing to establish and enforce policies preventing the potential ...

Tap baby tap

07/14/2011
New York – A court filing revealed that the techniques used by the US government to uncover the intricacies of the relationships between hedge-fund managers and expert networks included secret ...

Kinnucan, Kinnucannot

07/12/2011
John Kinnucan, founder of Broadband Research, is making headlines again, and this is not bullish for independent research providers. Kinnucan was recently cited as having received inside information during the ...

SEC “Kicks the Can Down the Road” with Hedge Fund Registration

07/11/2011
New York, NY – A few weeks ago, the Securities and Exchange Commission finalized rules requiring registration of most hedge fund managers with either their state or the SEC.  The ...

USA Vs Shimoon et al. – Shimoon pleads guilty

07/07/2011
New York – The latest development in the case USA Vs Shimoon et al., took place last Tuesday when Walter Shimoon, 39, pleaded guilty of illegally providing investors with confidential ...

Senators Best Hedge Funds

07/06/2011
Who profits more from non-public information – U.S. Senators or hedge funds?  Academic studies suggest that the stock portfolios of U.S. Senators significantly outperform most hedge funds, providing positive abnormal ...

Former Head of ISM Joins Strategas

07/05/2011
New York, NY – Last week, former head of the Institute for Supply Management, Norbert J. Ore, CPSM, C.P.M, joined New York-based independent research firm, Strategas Research Partners, LLC as ...

Study – A Penny Saved is a Penny Earned

06/30/2011
New York –  A recent study concludes that an early enough detection of financial shenanigans – decisions taken by a firm’s management with the intent of distorting the reported financial ...
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