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Alternatives

Equinox to Refund Investors $5.4 million

By Tom Costello of Costello Law Group Alternative fund manager Equinox Fund Management, LLC recently settled charges with the Securities and Exchange Commission (SEC). The SEC alleged that Equinox misrepresented and misled investors about a specific fund named The Frontier Fund (TFF). The SEC alleged that Equinox misrepresented the amount of management fees […]

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Regulators Keeping Close Eye on Alternatives and Complex Products

By Tom Costello of Costello Law Group Earlier this year, the Financial Industry Regulatory Authority (FINRA) issued their 2014 Regulatory and Examination Priorities letter which outlines their annual goals to assist investors. The letter also included a number of product concerns. Among those products were alternatives and complex structure products. Structured products have been on […]

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