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U.S. District Judge Sorokin wants the public record to show -- in no uncertain terms -- that ex-CEO is a high risk to commit further violations
Change is abrupt, pain is severe but most of it can be traced to custodians and advisors taking their medicine preemptively
Back against the wall, the ex-F-Squared CEO hopes for leniency because 'no investors suffered losses' as SEC seeks $11-million disgorgement and $150K penalty
The Florida-based mutual fund owner says he advertised using GIPS-compliant material such that: 'I didn't sell this at all'
The Reno, Nev.-based $1B advisory firm and its CEO are No. 17 on the Commission's hit parade and may not be the last, experts say
Docket filings tell dramatic tale of how Howard Present allegedly looked the other way on inflated backtest returns while laboring under duress of losing his dream
Observers say the Hartford, Conn.-based mutual fund company turned a blind eye to a fictitious track record but the SEC saw fit to mete out a not-so-big fine
The embattled Wellesley, Mass.-based ETF manager filed Chapter 11 to make a sale contingent on transitioning its remaining $5 billion of managed assets
The Hartford fund company set aside $5.2 million, warned it may need more and is replacing interstellar algorithms with a Virginian's figurings
The F-Squared founder cries foul for what the SEC calls fraud
The Hartford, Conn. firm is raising no alarms with investors but a handful of Virtus ex-employees are expressing confusion about how it all went down
The SEC alleges that the former F-Squared CEO engaged in a massive cover-up with lies, and the fabrication related to faulty backtesting
On a short Raymond James, RBC and Wells Fargo leash, the biggest ETF manager in the industry with $28 billion loses Howard Present and brings up Laura Dagan from its board of directors
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