SEC Case: School Officials Say Weiss Didn't Counter Shupe Plan
- SEC drops securities fraud charges against OC college district, for now. Hume, Lynn // Bond Buyer;02/01/2000, Vol. 331 Issue 30819, p4
Reports that the United States Securities and Exchange Commission has dropped the securities fraud charges it filed against the North Orange County Community College District. Appeal of a ruling in a related case against Kenneth Ough; Possible reinstatement of the case against the district.
- Emmet Seeks SEC's Help to Prevent Call. Hume, Lynn // Bond Buyer;8/1/2002, Vol. 341 Issue 31440, p1
Reports the request of Emmet & Co. for the U.S. Securities and Exchange Commission to investigate the legality of the Area School District to call the bonds in Williamsport, Pennsylvania. Redemption plan of Area School District on the zero-coupon bonds; Allegation of Emmet on the school...
- SEC Wonâ€™t Be Pinned Down on MCDC Continuing Disclosure Violations. Casey, Jack // Bond Buyer;9/14/2015, Vol. 1 Issue 34376, p1
Securities and Exchange Commission officials rejected bond lawyers' suggestions that the settlements with 36 underwriters under the Municipalities Continuing Disclosure Cooperation initiative contained specific parameters of continuing disclosure violations.
- SEC Accuses Orange County Issuers of Faulty Disclosures. Hume, Lynn Stevens // Bond Buyer;09/30/98, Vol. 325 Issue 30489, p1
Reports on the lawsuits filed by the United States Securities and Exchange Commission against six California cities and school districts for alleged violation of securities fraud laws. Counterarguments of lawyers representing the cities and school districts; Settlement of the charges filed...
- Issuer Discloses MCDC Document. Glazier, Kyle // Bond Buyer;11/13/2014, Vol. 1 Issue 34211, p1
An issuer has publicly disclosed its agreement to participate the Municipalities Continuing Disclosure Cooperation initiative, a decision several bond lawyers said could be a major misstep.Ã¼
- SEC Could Go After Stifel for Wis. School CDOs. Shields, Yvette // Investment Dealers' Digest;4/8/2011, Vol. 77 Issue 14, p11
The article reports that the U.S. Securities and Exchange Commission (SEC) advised Stifel, Nicolaus & Co. Inc. that a civil or administrative lawsuit will be filed against the firm for their role in the Wisconsin school districts investment in collateralized debt obligations (CDO). Attorney...
- Proposed SEC Conduct Standards Won't Affect Muni Bond Lawyers. Hume, Lynn // Bond Buyer;11/7/2002, Vol. 342 Issue 31508, p1
Reports that rules proposed by the U.S. Securities and Exchange Commission that would enforce lawyers representing issuers before the commission to report any evidence of material securities law violations would not affect municipal bond lawyers. Need to pay attention to certain concepts and...
- 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.