SEC
Whistleblower
Attorneys

September 21, 2018

Hope Advisors, LLC, Karen Bruton

Trading and Pricing

SANCTION AMOUNT: $1487235

Defendants: Hope Advisors, LLC
Karen Bruton

Consent judgment against fund manager and its principal, in case alleging that they managed two private hedge funds in which their only compensation was an incentive fee, and engaged in a continuous scheme to inflate their fees by structuring trading so that a (generally illusory) profit would be realized at the end of the month and losses would not be realized until the following month.

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