The United States Securities and Exchange Commission subpoenaed McDonald to testify before it in November 2021, but without advance notice he failed to appear as required. The ideal client would have a portfolio of stocks that have appreciated with the market and while offering great growth potential is susceptible to a market downturn. McDonald, who lived in the Los Angeles suburb of Arcadia, is believed to be in hiding, the statement said. Powered and implemented by FactSet Digital Solutions. Instead, McDonald allegedly misappropriated more than $1 million of the funds for personal expenses, including luxury vehicles and paying rent on his home, and misappropriated more than $2 million of the funds for Ponzi-like payments, payments to his Hercules investment adviser clients and expenses associated with operating Hercules. or redistributed. Believe It or Not, Its a Great Time To Be a Financial Advisor, Ares Strikes Deal for Office, Naming Rights at Los Angeles Tower, Musks Twitter Sells Off Coffee Makers, Neon Logo in Auction Blitz. The Hercules Fund aims to generate positive returns during times of rising and falling stock markets. McDonald falsely represented that investor funds would be used to expand Herculess business, lied about the firms financial condition, and failed to disclose that he had promised Hercules clients that the firm would repay earlier losses. My dream is to buy an NFL team. Below are the states with which the firm you selected makes its notice filings. Fri, Feb 12. Which was great for McDonald, because he apparently really muffed the market response to a Joe Biden victory over Donald Trump two years ago: He assumed that the ousting of an incompetent demagogue would tank things. Required fields are marked *. In a portfolio with a beta of one, one would enjoy virtually 100% downside protection with an allocation of 15% to the Hercules fund. https://www.wealthmanagement.com/sites/wealthmanagement.com/files/logos/Wealth-Management-Logo-white.png. Mutual Fund and ETF data provided by Refinitiv Lipper. Of course, we know that theres tremendous risk, not just to our health, but to the sustainability of small businesses, to the credit and economic security of households and to the outlook for how we will move forward past the pandemic. los angeles, oct. 10, 2019 /prnewswire/ -- award-winning derivatives investment management executive james a. mcdonald, jr. today announced that he has launched hercules investments llc, a los angeles-based registered investment advisor.hercules applies quantitative research to design and actively manage portfolios for investors seeking maximum "In our view, index options are a far more efficient and low- cost way to implement growth strategies for client portfolios compared with using funds or individual stocks. JAMES A MCDONALD JR Agent Address 1718 HARRIMAN LN, REDONDO BEACH, CA, 90278 Directors / Officers JAMES A MCDONALD JR, agent Registry Page https://bizfileonline.sos.ca.gov/sear. I think we will retest the previous lows of last March before buying comes back in. James McDonald is a 25-year veteran of the investment industry and was named one of America's top 10 investment advisors by ETF.com in 2012. McDonald allegedly raised over $5 million and misappropriated funds for personal expenses and Ponzi-like payments. Contact me online or call anytime at 844-689-5754. And so, the breadth of success is extremely narrow. To ensure the most secure and best overall experience on our website we recommend the latest versions of, Internet Explorer is no longer supported. Our emphasis is on index options investing around the U.S domestic large indexes, specifically, the S&P 500, the Russell 2000, and Nasdaq 100. Data is a real-time snapshot *Data is delayed at least 15 minutes. I'm Jeff Sonn, an attorney concentrating on securities fraud and consumer class actions. James McDonald from Hercules Investments and James Camp, Eagle Asset Management director of strategic income and managing director of fixed income, discuss the impact of the $1.9 trillion coronavirus relief package to the stock and bond markets. James Arthur McDonald Jr., 50, ran two Los Angeles-based investment firms called Hercules Investments and Index Strategy Advisors. McDonald was CEO of Hercules Investments LLC of Los Angeles and Index Strategy Advisors Inc. of Redondo Beach, and frequently appeared as an analyst on the CNBC financial TV news network,. We had to save the economy from going off the cliff with us not being able to operate as normal," McDonald said. // Disclaimer. James McDonald, CEO of Hercules Investments, is using equity index options to profit from an expected surge in volatility and market swings. And weve seen, recent examples of how the concentrated energy of small investors can make headlines. Subscribe to RIA Intels thrice-weekly newsletter and follow the publication on Twitter and LinkedIn. (Fox News). Then its fine. Covid-19 continues to spread rapidly and the vaccine rollout has been slower-than-expected, which is a worrisome combination for the economy and the stock market., The discussion will be streamed via Zoom at this link: https://us02web.zoom.us/webinar/register/WN_guvDkdmgQcy4-HcSuTnb1Q. Or, you know, anywhere, really. Hercules Investments was founded by James McDonald, who previously was founder and CEO of Index Strategy Advisors. [USA Today]. GESCO is a security company operating in various fields and basing on the principle of physical protection. Its clock-striking-midnight dealmaking time at the Justice Department. Instead, the SEC alleges, McDonald misappropriated more than $1 million of the funds for personal expenses, including luxury vehicles and paying rent on his home, and misappropriated more than $2 million of the funds for Ponzi-like payments, payments to his Hercules' investment adviser clients and expenses associated with operating Hercules. Hercules Investments won a 2020 Wealthies Award for being the top Alternative Asset Manager. And I think that that will trigger selling of portfolios that have had extensive gains, particularly in the past six months. I played semi-pro football for 12 years. The Securities and Exchange Commission today announced the filing of a civil injunctive action against James Arthur McDonald, Jr. and his SEC-registered investment adviser firm, Hercules Investments, LLC in connection with two fraudulent securities offerings. Moneys thrown into the stock market, not just big caps, theres a whole surge of investing that weve seen, maybe with the beginning of the online trading movement, where there are pockets of individual investors who have moved into investing in a way that is creating tons of frothiness. Federal prosecutors charged McDonald with one count of. Vaccinating the public will not happen as quickly as most expect. The SEC filed a civil injunctive action against James Arthur McDonald, Jr. and Hercules Investments, LLC in relation to fraudulent securities offerings. For more information, please see www.hercules-investments.com, Media Contact: Matt Yemma Peaks Strategies 909-633-9396 [emailprotected], Cision Distribution 888-776-0942 A man who ran two California-based investment companies and frequently appeared as a TV financial news analyst was charged Wednesday with securities fraud for allegedly bilking clients out of millions of dollars, federal prosecutors said. Below are excerpts from our Jan. 28 discussion, edited for length and clarity. LOS ANGELES, Oct. 10, 2019 /PRNewswire/ -- Award-winning derivatives investment management executive James A. McDonald, Jr. today announced that he has launched Hercules Investments LLC, a Los Angeles-based Registered Investment Advisor.Hercules applies quantitative research to design and actively manage portfolios for investors seeking maximum growth during up or down-market cycles. What should advisors know about your firm and how you can help them? 2023 FOX News Network, LLC. And so, equity market prices are assuming earnings that arent there. Volatility itself could be owned through a number of securities. Arcadia Man Charged with Securities Fraud for Stealing Client Funds and Concealing His Investment Firms Massive Financial Losses [press release]He appeared as a financial expert on TV. 2023 FOX News Network, LLC. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. More on that later. And we know that this isnt how a strong economy operates. Im a football player disguised as a portfolio manager. In a parallel action, the United States Attorney's Office for the Central District of California announced criminal charges against McDonald. I think the phenomena is an anomaly like virtually every pocket of life were in right now. Hercules Investments' James McDonald explains the different risk-related techniques advisors can use to keep clients comfortable with their portfolios. That would be a doubling from the low. By Greg Bartalos February 05, 2021 James McDonald (Courtesy photo) One hundred million viewers are expected to tune into Sunday's Super Bowl between the defending champion Kansas City Chiefs and Tampa . Get this delivered to your inbox, and more info about our products and services. South Ozone Park, New York, United States View. James McDonald, CEO and Chief Investment Officer of Hercules Investments, will serve as Portfolio Manager of the Hercules Fund. The bear case is that the effects of the shutdowns havent fully been realized yet. We represent investors in claims against negligent brokers and brokerage firms. McDonald graduated from Harvard University with a Bachelors degree in Economics. The gap between corporate profits and GDP, or even corporate profits and equity market prices, is wider than its ever been by a long way. Legal Statement. Unlike hedge funds, however, a mutual fund is accessible to individual investors and their advisors in a very transparent package. This fund is for qualified investors only. A frequent lecturer and conference speaker, he is a nationally-recognized expert on the topics of macroeconomics, event-driven investing, growth investing, portfolio construction, index investing, exchange-traded funds, digital currencies, and index . In the S&P 500, you have mega cap tech Covid winners like Microsoft, Amazon, etc. Now, there are a handful of companies that have flourished in the Covid era, but its a handful of companies. Subscribe to RIA Intels thrice-weekly newsletter.]. Today, James not only discusses all things volatility but also explains different risk-related techniques professionals can use to keep clients comfortable with their portfolios in the market. Powered and implemented by FactSet Digital Solutions. These filings are called "notice filings". Quant Research-Driven Investment Strategies For Investors Seeking Active Portfolio Management. In summary, NFLHX provides direct access to risk hedged growth adding a layer of insurance to a portfolio that has appreciated with the market. Today, James not only discusses all things volatility but also explains different risk-related techniques professionals can use to keep clients comfortable with their portfolios in the market.. We do this because we invest in index options, which give us the flexibility to purchase contracts that rise in value when markets fall and to own very misunderstood and often overlooked asset class volatility. Also on Wednesday, the U.S. Securities and Exchange Commission filed a civil complaint charging McDonald and Hercules with violations of federal securities law. The case status is Pending - Other Pending. - Strategies to profit from a stock market decline The actual profits that have been generated and the guidance that has increased are based on a small section of the market. We are able to provide uncorrelated growth, meaning our strategies do not depend on equity markets continuing to rise in order to accomplish gains. On September 21, 2022, the SEC announced charges against James Arthur McDonald, Jr. and his SEC-registered investment adviser firm, Hercules Investments, LLC in connection with two fraudulent securities offerings. According to the complaint, McDonald falsely represented that investor funds would be used to expand Hercules's business, lied about the firm's financial condition, and failed to disclose that he had promised Hercules clients that the firm would repay earlier losses. Or before an SEC investigator. The SEC's complaint alleges that McDonald raised over $3.6 million from investors between May 2019 and October 2021 for the stated purpose of trading securities through an investment vehicle called the Index Strategy Advisors Fund, and that McDonald used less than half those funds for trading and did not engage in any trading with the funds for long stretches of time. 4 . In early 2021, McDonald "solicited millions of dollars worth of funds from investors in the form of a purported capital raise for Hercules but misrepresented how the funds would be used and failed to disclose the massive losses Hercules previously sustained," the statement said. Fair question. The SEC's complaint, which was filed in the Central District of California, charges McDonald and Hercules with violating the antifraud provisions of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Got a confidential news tip? Hercules' portfolios are designed to achieve aggressive gains whether markets are rising or falling. Previously, McDonald was of counsel to Gary, Williams, Parenti, Watson & Gary, P.L.LC. Save my name, email, and website in this browser for the next time I comment. A Division of NBCUniversal. The potential for growth is there, but the conditions for growth are not because we are artificially providing income. Please read our Terms and Conditions, Modern Slavery Act Transparency Statement, and Privacy Policy before using the site. To ensure the most secure and best overall experience on our website, we recommend the latest versions of, https://us02web.zoom.us/webinar/register/WN_guvDkdmgQcy4-HcSuTnb1Q, https://hercules-investments.com/hercules-public/index.html. GESCO combines international experience and quality standards with modern technologies and opportunities and local professional service. He was direct and asked all the questions that were relevant and provided me with very thoughtful feedback and some useful contacts. Hercules Investments CEO/CIO James McDonald. Arcadia Man Charged with Securities Fraud for Stealing Client Funds and Concealing His Investment Firms Massive Financial Losses. The SEC filed a civil injunctive action against James Arthur McDonald, Jr. and Hercules Investments, LLC in relation to fraudulent securities offerings. The complaint seeks permanent injunctions, disgorgement with prejudgment interest, and civil penalties against McDonald and Hercules. Hercules applies quantitative research to design and actively manage portfolios for investors seeking maximum growth during up or down-market cycles. To send us an e-mail, simply complete and submit the online form below. In late 2020, McDonald lost between $30 million and $40 million of Hercules client money after adopting "a risky short position" based on his wrong prediction that the stock market would drop because of the COVID-19 pandemic and the results of the U.S. presidential election, the U.S. attorney's office said. Hercules Investments was awarded the WealthManagement.com 2020 Alternative Asset Manager of the year. Our specialization in volatility is what sets us apart because there are many funds and strategies which offer potential gains in a declining market, but as passive indexes or passive strategy, they are bound to lose money when markets are flat or rising. How Should HNW Investors Think About Them? The SECs complaint alleges that McDonald raised over $3.6 million from investors between May 2019 and October 2021, which he told investors would be used to trade securities through an investment vehicle called the Index Strategy Advisors Fund. And debt has spiraled over 50% higher to GDP than where we were last year this time. The SEC further alleges that, from February 2021 to October 2021, McDonald raised $1.5 million through the sale of equity investments in Herculess business. Get 5 free searches. The SEC appreciates the assistance of the U.S. Attorney's Office, the Federal Bureau of Investigation, and the Internal Revenue Service-Criminal Investigation Division. McDonald also allegedly raised over $3.5 million for securities trades through the Index Strategy Advisors Fund and misappropriated half of the funds for personal expenses. Founded on May 26, 2005, GESCO provides private and corporate security services in various regions of the country including Baku, in accordance with the requirements of ISO 9001, ISO 14001, ISO 45001. The CEO and chief investment officer of Hercules Investment, a Los Angeles-based RIA, saw his college football career cut short by a catastrophic knee injury that sidelined him for 15 years. In fairness to James McDonald, television is a much more welcoming venue than an SEC hearing room or courthouse. Strategy Voice Associates, LLC If you or your loved one experienced investment losses, we are here to help. Quotes displayed in real-time or delayed by at least 15 minutes. James Arthur McDonald Jr., 50, was charged with one count of fraud for bilking clients out of millions of dollars on Sept. 21, 2022. NE Atlanta, GA 30326 *by appointment only. The PE has risen by about 50% from a year ago. Legal Statement. McDonald, who graduated from Harvard University with an economics degree, expects the Dow will tumble more than 50% to 15,000, a prediction he has made several times since March 2020, before surging to new highs this year. Number 8860726. Do you have your eyes on any team per se? This Book Changed My Life, Fifteen Must-Listen Business Podcasts for Advisors, Celebrity Estates: Jay Leno and Planning for Classic Car Collections. Each client and each clients case is unique, and no result or outcome is or can ever be guaranteed. The SEC alleges that McDonald, a former guest commentator on CNBC, raised more than $5.1 million from 23 investors and clients, and misappropriated more than $2.9 million of those funds for personal expenses and Ponzi-like payments to earlier investors. The equity markets have behaved puzzlingly well in 2020 with the backdrop of a global pandemic and lots of uncertainty around the evolution of the coronavirus and its impact on small businesses, households, and way of life. When typing in this field, a list of search results will appear and be automatically updated as you type. Buckhead Tower, Suite 400 3399 Peachtree Rd. Global Business and Financial News, Stock Quotes, and Market Data and Analysis. When facing allegations such as these, its best not to be seen on TV. Greg Bartalos (@gregorianchance) is editor of New York City-based RIA Intel. To what extent do multiples deserve to be elevated given ultralow interest rates? The economy is slowly reopening and more vaccines are reaching people. And, now that you, the Justice Department and the SEC mention it, a lot of his stories sound a bit hard to believe. Yeah. . And so, if the market falls say 10%, our allocations will potentially offset the losses in the long only portfolio. Describe the ideal client profile. This material may not be published, broadcast, rewritten, Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. Environmental, Social and Governance (ESG), HVAC (Heating, Ventilation and Air-Conditioning), Machine Tools, Metalworking and Metallurgy, Aboriginal, First Nations & Native American. Ryan Thomas Gosling (born November 12, 1980) is a Canadian actor. Despite the challenges of Covid, equity markets have pushed to all-time highs on most indexes in a fashion that would suggest there is no risk in the market. Get all the stories you need-to-know from the most powerful name in news delivered first thing every morning to your inbox. The Sonn Law Group is currently investigating allegations surrounding James Arthur McDonald, Jr. or Hercules Investments, LLC. No, Brent Kovars mother didnt have an artificial intelligence supercomputer in her basement, the SEC says. And so, this is artificial. He appeared as a financial expert on TV. For more of the latest in litigation, regulation, deals and financial services trends, sign up for Finance Docket, a partnership between Breaking Media publications Above the Law and Dealbreaker. This material may not be published, broadcast, rewritten, or redistributed. This seriously cut in to his fee income, and CNBC appearance feesoh, yes, he was still bloviating on television about on how people should invest for more than a year-and-a-half after the most spectacular wrong call of his careerapparently dont cover the Porsches or the rent, so he decided to raise some more. And what were seeing now is bull market enthusiasm and all types of signs of bubbles in asset prices. The stockbroker and investment fraud lawyers at Sonn Law Group dedicate their entire practice to protecting the interests of investors who have lost money as a result of the negligent or wrongful conduct of those entrusted with protecting and growing our money. But I think that the market will rebound and potentially finish the year slightly higher. Its two and 20 (fee arrangement) ensures that our portfolio management is in alignment with the profit objectives of the client. McDonald will also be speaking at The Executives Club of Chicagos 2021 Annual Economic Outlook virtual event on January 14. McDonald, who faces up to 20 years imprisonment if convicted, is believed to be in hiding, the U.S. Attorneys office said in a news release. PDF Case Plaintiff Defendant - United States Courts Early life James McDonald was born in Wellhead, Morayshire, in north Scotland on September 23 1840. 2023 CNBC LLC. Our objective is to generate $10 billion for our clients in order for me to buy my football team. Fox News Flash top headlines are here. *Our firm, in some cases, advance costs and expenses of the case, and in that event, are recovered from the gross recovery of any settlement or verdict. Hercules CEO, CNBC Pundit 'In Hiding' Amid Securities Fraud Charges James Arthur McDonald Jr. appears to be on the lam as he faces as much as 20 years in prison for allegedly defrauding. I really enjoyed speaking with you and appreciate you taking the time. Check out what's clicking on Foxnews.com. Hercules Investments won a 2020 Wealthies Award for being the top Alternative Asset Manager. 165 Broadway 23rd Floor New York City NY, 10006 *by appointment only. Market data provided by Factset. We fight to level the playing field between large corporations and the public investor. The leader of Pershing X explains why her experience, leadership style, and the support of BNY Mellon, have positioned the new venture to disrupt how wealth managers do business. So, I got to root for Tom Brady because any 40-plus football player is one I admire. Whats the bear case predicated on? Hercules Investments chief investment officer James McDonald used to be a familiar face on CNBC, pontificating about market matters as an expert thereon. And this is evidenced by us being at valuation levels weve never touched before, even higher than 1929 and 2000-2001. It wasn't immediately clear whether he had an attorney who could speak on his behalf. Our ability to monetize volatility is exceptional as evidenced by our winning WealthManagement.coms 2020 Wealthies Award as top Alternative Asset Manager. Key stock indexes, which are market cap based, are near record highs. Because in addition to unemployed, he can also now call himself whistleblower.. Tune in to discover different ways that Hercules Investments can provide you with overlay strategies while giving you market volatility protection! The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. The Fund seeks to implement very short-term long and short positions in call and put options on the main US stock . Lets call it artificial income and artificial credit for small businesses that are keeping the economy alive. "-Sonn Law Group Client. To be clear, you expect a risk event this year will take the Dow down to 15,000 but by year end it will finish higher than today? The SEC's investigation was conducted by David S. Brown, Carol Kim, and Matthew O. Koop and was supervised by Marc J. Blau in the Los Angeles Regional Office. Thats my personal mission. We can deliver these same strategies to investor portfolios with less than $1 million," said Mr. McDonald, Chief Executive Officer of Hercules and previous winner of the Top 10 Advisors Rising Stars award from ETF Report magazine. It is a risk-hedged growth mutual fund that captures market appreciation and has the potential for great gains when markets fall. Our strategies offer downside protection and even potential upside gains with protracted market downturns. Securities fraud and consumer class actions allegations such as these, its best to. Delivered to your inbox, and market data and Analysis and services think the phenomena is an anomaly virtually... Anomaly like virtually every pocket of life were in right now research to design and manage! Of physical protection and Privacy Policy before using the site of how the concentrated energy of small can. 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