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Securities & Exchange Commission v. Rooney et al
Case Number:
1:11-cv-08264
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
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July 14, 2014
SEC Wins Civil Penalties Against Hedge Fund Manager
An Illinois federal judge on Monday granted the U.S. Securities and Exchange Commission's request for $1.5 million in fines against a hedge fund manager accused of funneling $3.6 million to his troubled company but stopped just short of taking that company away from him.
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May 16, 2013
CORRECTED: Hedge Fund Manager Can't Dismiss SEC's Attempt At Ban
A hedge fund manager accused of misusing investor assets lost a motion Thursday to dismiss the U.S. Securities and Exchange Commission’s request for a ruling that would bar him from serving as director or officer of a public company, according to an Illinois federal court filing.
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March 11, 2013
Hedge Fund Creator Decries SEC's Attempt At D&O Ban
A hedge fund creator fighting accusations that he funneled investor funds into his molecular imaging company said Monday that it would be "totally unprecedented" if securities regulators were to bar him from serving as a director or officer of a public company.
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November 22, 2011
Hedge Fund Creator Funneled $3.6M To Troubled Co.: SEC
U.S. securities regulators have sued the creator of a hedge fund for failing to tell investors he funneled more than $3.6 million from the fund to a microcap company he also led, the regulators said Tuesday.