INVESTMENT BANKING DATABASE: Real Estate
- Real Estate Deal in Pennsylvania Comes Under Investigation by SEC. Braun, Martin Z. // Bond Buyer;7/18/2002, Vol. 341 Issue 31430, p1
Focuses on the investigation of the 1998 Pennsylvania real estate deal of the Dauphin County General Authority conducted by the U.S. Securities and Exchange Commission. Allegations of Dauphin county officials; Refusal of solicitors to confirm or deny the investigation; Pursuance of county...
- Analysts Shouldn't Pitch Deals, SSB Says. Jamieson, Dan // On Wall Street;Sep2002, Vol. 12 Issue 9, p17
Discusses the proposals for the further separation of research analysts from investment bankers regarding soliciting investment banking business and attending road shows in the U.S. in 2002. Proposal from Salomon Smith Barney and its parent company Citigroup; Information on the analyst reform...
- SEC, Spitzer take interest in Bear CDO trades. Pyburn, Allison // Asset Securitization Report;7/18/2005, Vol. 5 Issue 25, p8
Reports on the investigation of Bear Stearns' collateralized debt obligations (CDO) trading practices with clients by the Securities and Exchange Commission (SEC) and New York Attorney General Eliot Spitzer in the U.S. Recommendation of enforcement action against the firm by SEC; Acquisition of...
- SEC Weighing Action Against B of A. Julavits, Robert // American Banker;3/2/2004, Vol. 169 Issue 41, p18
Charlotte, North Carolina-based Bank of America Corp. is still waiting to hear whether it will face regulatory action stemming from a two-year investigation of its investment bank's trading and research activities. In its annual report filed with the U.S. Securities and Exchange Commission (SEC)...
- SEC Launches Inquiry into Research Analyst Conflicts. // Venulex Legal Summaries;2002 Q2, p1
The article reports on the launch of a formal inquiry by the U.S. Securities and Exchange Commission into market practices concerning research analysts and the potential conflicts that can arise from the relationship between research and investment banking. Involved in the conduction of the...
- Report of the Task Force on SEC Rules Relating to Investigations. // Business Lawyer;May87, Vol. 42 Issue 3, p789
Presents the Report of the Task Force on Securities and Exchange Commission Rules Relating to Investigations in the United States. Promulgation of the Proposed Rules; Types of investigations; Violation of several statutes and rules.
- SEC Launches Home Care Therapy Investigation. // Eli's Home Care Week;2010, Vol. 19 Issue 25, p194
The article reports that the Securities and Exchange Commission has conducted home care therapy investigations in the U.S.
- SEC Launches Probe of Miami-Dade Health Care Deal. Sigo, Shelly // Bond Buyer;4/22/2010, Vol. 372 Issue 33304, p4
The article reports on the move of the U.S. Securities and Exchange Commission (SEC) to open an investigation on the 83.3 million dollars bond deal sold by Miami-Dade County, Florida in 2009 on behalf of the county's Public Health Trust (PHT).
- SEC to Start Muni Hearings Sept. 21: San Francisco Meeting to Be First of Five. Hume, Lynn // Bond Buyer;9/8/2010, Vol. 373 Issue 33379, p1
The article reports that the Securities and Exchange Commission (SEC) will start its hearing on municipal market in San Francisco, California on September 21, 2010. The hearing will examine Municipal Securities Rulemaking Board (MSRB), Build America Bonds (BAB), investor protection and...