Tag Archives: SEC

SEC Fines Hedge Fund Manager $175,000 for Failure to Disclose Personal Stock Trades

Geoffrey Brod, former hedge fund manager for Aeltus Investment Management, LLC (now known as ING Investment Management Co.). From 1999 to 2003, Brod engaged in active personal short-term trading in public company stocks, including stocks of companies held or to … Continue reading

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SEC Commissioner Comments on Sub-Prime Meltdown

On October 19, 2007 S.E.C. Commissioner Annette Nazareth spoke at the Los Angeles County Bar Association 40th Annual Securities Regulation Seminar. In her comments, she outlines her thoughts on the some of the steps the S.E.C. are currently taking: “First, … Continue reading

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