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Eric R. Werner Named Director of Fort Worth Regional Office

The Securities and Exchange Commission today announced that Eric R. Werner has been named Regional Director of the Fort Worth Regional Office, effective… ....

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SEC Charges Unregistered Investment Adviser With Defrauding Investors In Decade-Long Scheme


SEC Charges Unregistered Investment Adviser With Defrauding Investors In Decade-Long Scheme
Date
09/03/2021
The Securities and Exchange Commission today charged George Heckler, of Charleston, South Carolina, for operating a decade-long investment adviser fraud through two private hedge funds, Cassatt Short Term Trading Fund LP (Cassatt) and CV Special Opportunity Fund LP (CV Special), that Heckler formed to conceal massive losses incurred by Conestoga Holdings LP (Conestoga), another fund controlled by Heckler.
According to the SEC s complaint, Heckler, after forming Cassatt and CV Special, transferred Conestoga s poorly performing assets to those funds and then misrepresented the funds  objectives and performance to Cassatt and CV Special investors. The complaint alleges that, between 2009 and 2019, Heckler falsely told investors that their funds were being used to engage in very short-term equity trading and that the investments were consistently generatin ....

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