Category Archives: hedge fund rulings
Sadis & Goldberg Alert: Hedge Fund SEC Filing Deadlines
New York (HedgeCo.net) – On October 31, 2011, the Securities and Exchange Commission (“SEC”) adopted new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street […]
Hedge Fund Securities Firm Wins $1.46 Arbitration Award Against WFG
New York (HedgeCo.net) – Hedge fund services company Esposito Securities won a $1.46 million FINRA arbitration award against $6.5 billion Dallas-based financial services firm WFG Investments, Inc. “We are very happy that the FINRA arbitration process was confirmed by the […]