Hedgie Fraud Remains A Tough Beat for SEC

Friedlander, Josh
June 2005
Investment Dealers' Digest;6/6/2005, Vol. 72 Issue 22, p14
Trade Publication
The article focuses on developments in hedge funds in the U.S. The world will change significantly for hedge funds next February, when most will be required to register with the Securities and Exchange Commission (SEC). The article considers the case of Castle Rock Trading Co., an unregistered investment company that the SEC last week accused of fraud. Initially, the SEC asked to see Castle Rock's books, but when they were repeatedly not made available, the SEC brought a complaint in the U.S. District Court in Colorado.


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