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December 16, 2015

Posted  January 28, 2016

The SEC barred hedge fund adviser Owen Li from the securities industry and censured his associated firm Canarsie Capital LLC after Li made a series of false statements to investors and ultimately caused a fund’s collapse.  In a parallel action, the U.S. Attorney’s Office for the Southern District of New York announced criminal charges against Li.  Monetary sanctions are expected to be ordered in this parallel criminal proceeding.  SEC

Tagged in: Misrepresentations, Securities Fraud,