SEC Sanctions McClendon, Counts
- San Diego Sanctioned By SEC. Hume, Lynn; Saskal, Rich // Bond Buyer;11/15/2006, Vol. 358 Issue 32509, p1
The article reports that the U.S. Securities and Exchange Commission (SEC) has sanctioned the city of San Diego, California for committing securities fraud. According to the SEC, the city failed to disclose in bond offering documents, financial statements and discussions with rating agencies...
- SEC Targets Pooled Bonds In Louisiana. Hume, Lynn // Bond Buyer;12/21/2004, Vol. 350 Issue 32034, p1
The article reports that the Securities and Exchange Commission (SEC) enforcement lawyers have notified the Louisiana Local Government Environmental Facilities and Community Development Authority, underwriter Sisung Securities Corp. and the financial advisory firm formerly called Holley, Tucker,...
- SEC, Spitzer Bring First Annuity Charges. Toland, Tamiko // Money Management Executive;8/16/2004, Vol. 12 Issue 32, p1
The Securities and Exchange Commission (SEC) and New York Attorney General Eliot Spitzer have settled their first market-timing case against variable annuity issuers, with fines and disgorgement totaling $20 million. A blend of insurance and securities, variable annuities fall under the...
- Court Rules For SEC in Bradbury Case, But Dismisses Weiss Charges. Hume, Lynn // Bond Buyer;2/28/2005, Vol. 351 Issue 32079, p1
This article reports that the U.S. Securities and Exchange Commission (SEC) received two divergent rulings by administrative law judges in separate municipal enforcement cases, one a partial victory for the enforcement division that sanctioned broker-dealer Dolphin & Bradbury (D&B) for...
- SEC Ponders Curbs on High-Frequency Trading. Aguilar, Melissa Klein // Compliance Week;Nov2010, Vol. 7 Issue 82, p10
The article focuses on the regulation and efforts of the U.S. Security and Exchange Commission (SEC) to control abuses in high-frequency trading (HFT). It states that HFT was a prime suspect for the flash crash in May 6, 2010 which frightened both the investors and regulators. It says that quote...
- TEXAS: Obeying the SEC. Albanese, Elizabeth // Bond Buyer;1/22/2002, Vol. 339 Issue 31308, p37
Reports on the plans of two former Arlington City Council members to close their investment management business as a result of securities fraud lawsuit by the U.S. Securities and Exchange Commission. Allegations against companies involved in the fraud.
- Dates set for SEC trials in cases over '93, '94 deals in Orange County. Hume, Lynn // Bond Buyer;01/26/99, Vol. 327 Issue 30565, p25
Focuses on United States Securities and Exchange Commission's (SEC) disclosure-related enforcement case against five issuers in Orange County, California. Small cities and school districts' determination to fight SEC charges; Violation of securities fraud laws through negligence.
- SEC charges 3 issuers, others over land-backed deals. Marois, Michael B.; Hume, Lynn Stevens // Bond Buyer;02/04/98, Vol. 323 Issue 30324, p1
Reports on the US Securities & Exchange Commission's (SEC) securities fraud charges against three small central California issuers of land-backed bonds. SEC action against a financial adviser and real estate appraiser for defrauding investors who bought Mello-Roos and Marks-Roos bonds issued...
- Financial shell game in Florida County sparks SEC charges. Reynolds, Katherine M. // Bond Buyer;09/30/97, Vol. 321 Issue 30241, p6
Reports on the securities dealers in Escambia County, Florida charged with fraud by the US Securities & Exchange Commission (SEC). Excess markups made by the charged dealers; Start of public administrative proceedings against the dealers.