June 02, 2016
James Caird Asset Management LLP, Timothy G. Leslie
SANCTION AMOUNT: 2,521,074.00
Defendants: James Caird Asset Management LLP
Timothy G. Leslie
Settlement of charges against investment adviser and co-founder thereof, for misrepresenting the strategy of a managed fund and misallocating trades between that fund and another managed fund, to the benefit of co-founder Respondent who was more heavily invested in the advantaged fund.
- Key Docs
- Official SEC press release