We collected information about Aletheia Sec Complaint for you. There are links where you can find everything you need to know about Aletheia Sec Complaint.
https://www.sec.gov/litigation/complaints/2012/comp22573.pdf
Aletheia's CEO iUld CIO, had rull discretionary authority "ver . all Alelheia client aCC(IU.nlS - including the Option Trading Accounts. He was also solely responsible for all of the investment decisions made for these accounts throughout the rcievant . period. E. The Defcndants' Cherry-Picking Scheme
https://www.sec.gov/litigation/litreleases/2012/lr22573.htm
Dec 14, 2012 · Litigation Release No. 22573 / December 14, 2012 Securities and Exchange Commission v. Aletheia Research and Management, Inc. and Peter J. Eichler, Jr., United States District Court for the Central District of California, Civil Action No. 12-cv-10692-JFW-(RZx) SEC CHARGES SANTA MONICA-BASED HEDGE FUND MANAGER IN CHERRY-PICKING SCHEME
https://www.latimes.com/business/la-xpm-2012-dec-14-la-fi-aletheia-sec-20121215-story.html
Dec 14, 2012 · Clients in two Aletheia-run hedge funds, meanwhile, suffered $4.4 million in losses, according to the civil complaint filed Friday. “Aletheia and Eichler had an obligation to treat all clients ...
https://www.stocklaw.com/securities-fraud-blog/2012/december/aletheia-ceo-peter-j-eichler-jr-accused-of-defra/
Dec 19, 2012 · One month later, in November of 2012, Aletheia filed for Chapter 11 bankruptcy protection. According to the SEC's complaint, Eichler additionally failed to warn investors of Aletheia's financial state—including the state of California's suspension of Aletheia's corporate status—until just two days before the firm's bankruptcy filing.
https://www.regcompliancewatch.com/aletheia-research-and-management-inc-and-peter-j-eichler-jr/
Dec 17, 2012 · According to the Commission's complaint filed in federal court in Los Angeles, Aletheia had more than $1.4 billion in assets under management and managed two hedge funds. By engaging in a cherry-picking scheme, Aletheia and Eichler violated the …Author: RCW Staff
https://www.financial-planning.com/news/once-high-flying-advisor-faces-sec-lawsuit
And on October 1, 2012, the state of California suspended the firm s corporate status because of nonpayment of more than $2 million in late taxes, according to the SEC complaint. However, Aletheia ...
https://dealbook.nytimes.com/2012/12/16/s-e-c-says-asset-firm-manipulated-trades-to-enrich-some-clients/
Dec 16, 2012 · Trades assigned to Mr. Eichler’s personal accounts were profitable about 98 percent of the time, while only 32 percent of the trades allocated to the Aletheia hedge funds made money, according to the S.E.C. The government’s complaint added to Mr. Eichler’s growing legal problems. Last month, his firm sought bankruptcy protection.
https://www.reuters.com/article/usa-crime-eichler-idUSL1E8NECWV20121214
Dec 14, 2012 · According to the SEC’s complaint, filed in federal court in California, Eichler traded options for Aletheia and also ran an investment advisory service through the firm. ... the SEC’s ...
https://www.pionline.com/article/20110613/PRINT/306139976/sec-fine-is-latest-hit-to-aletheia
Jun 13, 2011 · A recent SEC settlement is only the latest woe for money manager Aletheia Research and Management Inc., Santa Monica, Calif., as it struggles to hold onto its clients. ... The complaint says ...
https://www.aol.com/2010/12/08/barnes-and-noble-stakeholder-aletheia-embroiled-in-litigation-sec/
Dec 08, 2010 · Barnes & Noble Stakeholder Aletheia Embroiled in Litigation, SEC Investigation. Share. Sarah Weinman, AOL.com ... In a complaint filed late last …
https://law.justia.com/cases/federal/district-courts/california/cacdce/2:2012cv10692/550308/32/
Securities and Exchange Commission v. Aletheia Research and Management Inc et al, No. 2:2012cv10692 - Document 32 (C.D. Cal. 2013) case opinion from the Central District of California U.S. Federal District Court
https://www.law360.com/articles/595280/o-melveny-hit-with-14m-legal-mal-suit-by-investing-co
O'Melveny Hit With $14M Legal Mal Suit By Investing Co. By ... the complaint says. ... the U.S. Securities and Exchange Commission issued a subpoena to Aletheia, notifying it that the SEC was ...Author: Daniel Siegal
https://www.courthousenews.com/bankrupty-trustee-challenges-law-firm/
A month after Aletheia filed for voluntary bankruptcy in 2012, the Securities and Exchange Commission accused Eichler and the firm of “ cherry-picking ” winning trades for their own trading accounts and certain clients. At the same time, the SEC alleged, Aletheia placed losing trades in two hedge funds, damaging investors in those funds.
http://labusinessjournal.com/news/2010/dec/07/aletheia-founders-spar-amid-sec-inquiry/
Aletheia Research and Management, a fast-growing Santa Monica money-management firm, is wrestling with a deep rift between its founders as well as an investigation by the Securities and Exchange ...
https://www.foxbusiness.com/features/sec-targets-cherry-picking-daddy
Financial advisor Charles J. Dushek bagged a 25,000% return in his individual retirement account from 2008 to 2011 despite Wall Street firms and giant banks collapsing, or the unemployment rate ...
https://www.law360.com/articles/401946/sec-accuses-calif-hedge-fund-manager-of-trading-scheme
Aletheia was in a precarious financial condition beginning in July after California filed a tax lien for more than $2 million against the firm for unpaid taxes and penalties, according to the SEC ...Author: Maria Chutchian
https://www.courtlistener.com/opinion/3161593/in-re-aletheia-research-and-management-inc/
The bankruptcy court's ruling to dismiss Trustee's complaint 11 At the start of the hearing on Clay Lacy's Motion to Dismiss, 12 the bankruptcy court noted it was not clear from Trustee's 13 complaint whether Aletheia or some individual not representing 14 Aletheia hired Clay Lacy for each of the flights in question. 15 Counsel for Trustee ...
https://www.fa-mag.com/news/sec-charges-hedge-fund-manager-12877.html
Meanwhile, they allocated winning trades to accounts owned by Eichler and Aletheia employees as well as accounts belonging to select clients, the SEC charges. The complaint was filed in U.S ...
https://dealbook.nytimes.com/2012/11/12/los-angeles-money-manager-aletheia-files-for-bankruptcy/
Nov 12, 2012 · 3:58 p.m. Updated . The Securities and Exchange Commission is investigating a Los Angeles money manager over accusations of improper trading practices, according to two people with direct knowledge of the case.. The news of the investigation of Peter J. Eichler Jr., the money manager, came as his firm, Aletheia Research and Management, filed for bankruptcy protection late Sunday …
https://clinicalnews.org/2012/12/17/making-millions-is-easy-if-you-cheat-sec-says/
LOS ANGELES (CN) - An L.A.-area investment adviser cherry-picked trades to scoop up $2 million for himself, while losing $4.4 million for his customers, the SEC claims in court. The SEC sued Aletheia Research and Management Inc. and its CEO Peter Eichler Jr., …
Searching for Aletheia Sec Complaint information?
To find needed information please click on the links to visit sites with more detailed data.
