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: Securities Law Prof Blog

Hedge Fund Adviser Settles SEC Reg M Charges

By Securites Lawprof

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The SEC today charged Dallas-based hedge fund adviser Carlson Capital, L.P. with improperly participating in four public stock offerings after selling short those same stocks. Carlson agreed to pay more than $2.6 million to settle the SEC's charges. The SEC's...

Full post as published by Securities Law Prof Blog on September 23, 2010 (boomark / email).

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