Rauscher cites MSRB rules as defense in SEC case
- SEC files yield-burning charges against Rauscher, former official. Hume, Lynn Stevens // Bond Buyer;01/09/98, Vol. 323 Issue 30307, p1
Reports on the US Securities and Exchange Commission's (SEC) filing of securities fraud and other charges against Rauscher Pierce Refsnes Inc. and its former senior vice president James R. Feltham over a $129.6 million refunding of certificates of participation done for Arizona in 1992. ...
- SEC about to target Rauscher in first yield-burning case. Hume, Lynn Stevens // Bond Buyer;01/08/98, Vol. 323 Issue 30306, p1
Focuses on the US Securities Exchange Commission's (SEC) move to file securities fraud charges against Rauscher Pierce Refnes Inc. over a refunding in the SEC's yield burning case. Warnings by private securities lawyers on the effect of court ruling on the Banca Cremi case; Features of the...
- Federal yield-burning probe slammed by Arizona official. Hume, Lynn Stevens // Bond Buyer;08/27/97, Vol. 321 Issue 30218, p1
Reports on criticisms by Arizona Treasurer Tony West against the ineptitude of the US Internal Revenue Service and other federal agencies in investigating incidents of yield-burning on municipal bonds. Treatment of the state of Arizona as if it were the guilty party rather than the innocent...
- Orange county says S&P, Rauscher cases should be combined. Figler, Andrea // Bond Buyer;10/23/98, Vol. 326 Issue 30506, p1
Reports on the plan of Orange County, California to consolidate its post-bankruptcy litigation against Standard & Poor's parent firm McGraw-Hill Co. and the former Rauscher Pierce Refsnes Inc. regarding losses in the county investment pool. Similarities of claims against the two entities;...
- 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.
- Mississippi localities settle; lawyer sued in SEC case. Hume, Lynn Stevens; McKenna, Jon // Bond Buyer;07/14/98, Vol. 325 Issue 30434, p1
Reports on the United States Securities and Exchange Commission's settlement of securities fraud charges against 38 counties, cities and town in Mississippi for failure to disclose the risk that 73 municipal note issues were not tax-exempt. Terms of the settlement; Attempt to maintain the...