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Case Studies

Check Fund Manager's team of experienced investigators digs deep to uncover information that helps our clients evaluate manager character and credentials. Following are some real examples of recent investigations where our findings helped steer our clients away from high-risk investments.

London

Freedom of Information Act inquiry revealed sanctions before the fund collapsed:

One of our investigators made a FOIA inquiry to the Securities and Exchange Commission as part of comprehensive research into a fund. Based on the correspondence received we suspected that the firm was under investigation by the SEC.

It turned out that the company was negotiating with the SEC to settle a securities fraud case. As a result, our client chose not to make a multi-million dollar investment into this fund, which ultimately was closed as a condition of the SEC settlement.

Investigator linked disparate records to tell a manager's whole story:

Although a manager's name was misspelled in multiple court records, our investigation revealed numerous criminal and civil cases. He also misrepresented education credentials in his biography, and had a bankruptcy filing that was complicated by serious charges of wrongdoing.

Check Fund Manager's investigator was able to piece together his litigation history by matching up case numbers and dates via multiple sources, and by reviewing extensive case details which referenced other cases that the manager tried to deny. However, we were able to obtain a mug shot and other personal identifiers that proved his complicity in all of the cases.

Our research revealed criminal records that managers were trying to erase:

  • During an investigation of a fund executive, we discovered a felony theft charge, which led to a misdemeanor conviction. Despite his efforts to remove it from his record, he ultimately admitted to the crime, due to the fact that our report showed the charge was corroborated by multiple sources.
  • Another case revealed that a manager was arrested in a prostitution sting operation, which he was trying to expunge from his record. The manager's name is the same as the name of the firm, which adds another level of headline risk above and beyond the criminal issue.
  • A large California public fund was invested with a manager for whom we uncovered charges of domestic abuse and methamphetamine possession, which he was trying to remove from his record. Upon learning this information, along with other detrimental findings, the public fund canceled its investment. This manager was later barred from the from the securities industry due to serious charges of misrepresentation, and his fund collapsed.

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