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Westport’s Lime Rock Management among 10 firms fined by SEC for...

The firm will pay $75,000 to settle charges that it violated the SEC rules by receiving compensation from public pension funds within two years after campaign contributions made by the its associates.

SEC charges Stamford’s Atlantic Asset Management with fraud

The Securities and Exchange Commission has leveled fraud charges against a Stamford-based investment advisory firm, Atlantic Asset Management LLC.

Hedge fund pays $21.5 million penalty

Level Global Investors L.P. agreed April 29 to pay $21.5 million to settle charges that its co-founder and several employees had engaged in inside trading of Dell Inc. and Nvidia Corp. securities.

Challenges mounting for hedge fund managers

The founder of Delphin Investments L.L.C. says competing with public perception and against some of the larger fund management firms in Fairfield County has been challenging.

CH Energy shareholders OK purchase by Fortis

Shareholders of CH Energy Group Inc. have voted overwhelmingly to approve the purchase of CH by Fortis Inc., Canada’s largest investor-owned distribution utility. The transaction...

Back to school for corporate governance

Summer session is beginning at colleges and universities, and management experts say one of the offerings should be Corporate Governance 101. First in line...

Woes mount for Southridge

Southridge’s broker-dealer has been forced to close down, but that may be only the tip of the iceberg.