Cases / Trading, forex & commodities
Neal V. Goyal
This entry summarizes public reporting and government filings. Charges and civil complaints are allegations unless a court has entered a conviction or judgment — check the source for the current status.
- Company / entity
- Caldera Advisors LLC, Blue Horizon Asset Management LLC, Caldera Investment Group Inc
- Industry
- Unregistered private hedge funds (long-short trading strategy)
- How investors were recruited
- Friends/investor network in Chicago finance circles
- Pitch & red flags
- Said funds would "invest in securities following a long-short trading strategy"; sent "phony account statements that grossly overstated the performance"
Pitch phrases from this case
- “invest in securities following a long-short trading strategy”
- “phony account statements that grossly overstated the performance”
Source
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