SEC Lawyers' Attempt to Block Expert Testimony Rejected
- Judge sets trial date for SEC suit against California issuers, others. Marois, Michael B. // Bond Buyer;05/04/98, Vol. 324 Issue 30385, p3
Discloses the trial date for the securities fraud litigation suit filed by the US Securities and Exchange Commission (SEC) against Nevada County, the city of Ione and the Waco Public Financing Authority. Financial adviser Virginia Horler and appraiser Bill McKay as co-respondents; Issuers' sale...
- SEC Position on Disclosure Clarified in Miami Muni Case. Hume, Lynn // Bond Buyer;06/19/2000, Vol. 332 Issue 30915, p1
Reports on the United States Securities and Exchange Commission's disclosure stance in its case against Miami, Florida. Allegations that the city violated the securities fraud laws; Controversy concerning Miami's 1994 comprehensive annual financial report.
- SEC Charges Developer, Appraiser Over Rancho Lucerne Project Bonds. Hume, Lynn // Bond Buyer;2/26/2003, Vol. 343 Issue 31581, p4
Reports that the U.S. Securities and Exchange Commission has filed securities fraud charges against the developer and appraiser of the proposed San Bernardino, California-based Rancho Lucerne residential golf course community. Overview of the lawsuit.
- TBMA and SIA Urge Appeals Court to Uphold Ruling in the Ough Case. Hume, Lynn // Bond Buyer;04/06/2000, Vol. 332 Issue 30865, p5
Focuses on the Bond Market Association and the Securities Industry Association's call for the Ninth Circuit Court of Appeals to uphold a lower court's ruling in the Kenneth Ough case. Securities fraud charges filed by the United States Securities and Exchange Commission (SEC) against Ough;...
- 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...