June 02, 2016

James Caird Asset Management LLP, Timothy G. Leslie

Financial Fraud

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.

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