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Securities and Exchange Commission v. Southridge Capital Management, LLC et al
Case Number:
3:10-cv-01685
Court:
Nature of Suit:
Judge:
Firms
- DLA Piper
- Fogerty Lambert
- Gregory and Adams
- Halloran & Sage
- Messner Reeves
- Reardon Scanlon
- Rome McGuigan
- Sullivan & Worcester
- Updike Kelly
- Womble Bond
Companies
Government Agencies
Sectors & Industries:
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August 14, 2017
Hedge Fund Manager, 2 Firms Must Pay SEC Nearly $13M
A Connecticut hedge fund manager and two of his investment advisory firms have been ordered to pay nearly $13 million after they were found liable for allegedly misappropriating investor funds, the U.S. Securities and Exchange Commission said in a statement Friday.
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October 26, 2010
SEC, Conn. AG Sue Southridge Manager For Fraud
The U.S. Securities and Exchange Commission and the Connecticut attorney general have filed separate lawsuits against hedge fund manager Stephen M. Hicks, accusing him of fraudulently inflating the value of investments and lying to investors about what he'd do with their money.