Marion, SEC in markups discussion
- Excessive markups by Marion Bass charged by SEC. McKenna, Jon // Bond Buyer;10/02/97, Vol. 322 Issue 30243, p1
Reports on the US Securities and Exchange Commission's (SEC) accusation against Charlotte, North Carolina-based broker-dealer Marion Bass Securities Corp. for alleged charging customers of excessive markups securities between 1991 and 1994. Illegal profits earned from the markup issue; Sales...
- 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.
- Mob-linked plumbers fined by SEC. Mader, Robert P. // Contractor Magazine;May96, Vol. 43 Issue 5, p1
Reports on the settlement of the cases involving the Security and Exchange Commission and two officers of Atratech Incorporated, an alledgedly mob-connected plumbing firm. Agreement to pay fines; Perceived control of convicted felon, Anthony Gurino; His working background; State of cases against...
- Federal judge rules in favor of SEC in porn case. // Buffalo Law Journal;12/13/2010, Vol. 82 Issue 99, p11
The article reports that U.S. District Judge Christine Arguello ruled out that U.S. Securities and Exchange Commission (SEC) does not have to release the names of employees who viewed pornography on agency computers during work hours, and argues that SEC has already released enough information...
- Pay-to-Play Lawsuit in Appeal. Glazier, Kyle // Bond Buyer;1/5/2015, Vol. 1 Issue 34236, p1
A lawsuit challenging the Securities and Exchange Commission's investment adviser pay-to-play rule is moving forward in a D.C. federal appeals court, with implications for muni market pay-to-play restrictions hanging in the balance.
- Insider Trading Laid to Ex-Chemical Analyst. // American Banker;5/24/2000, Vol. 165 Issue 100, p24
Reports that former investment analyst Anthony Polk was accused along with two others of selling inside information. Civil complaint issued by the United States Securities and Exchange Commission.
- Counselor barred. // Hudson Valley Business Journal;1/22/96, Vol. 6 Issue 45, p20
Reports that Gary A. Smith, an investment counselor of Ann Arbor, Michigan was barred from the securities industry due to death threats to a Securities and Exchange Commission attorney, a federal judge and a marshall.
- Bond buyers, rest easier. Lee, Charles S.; McGinn, Daniel // Newsweek;11/20/1995, Vol. 126 Issue 21, p73
Reports that the Securities and Exchange Commission (SEC) told city officials in Denver, Colorado, that it may sue them for fraud. The Denver International Airport opening behind schedule and overbudget; Assertion that investors might have wanted to know about the airport's problems when they...
- Viaticals Not Securities, Court Rules. Connolly, Jim // National Underwriter / Life & Health Financial Services;7/15/96, Vol. 100 Issue 29, p3
Reports on a District of Columbia appeals court decision on the Securities and Exchange Commission versus Life Partners Inc. (LPI) case that viatical settlements are not subject to federal securities laws. Disqualification of LPI for the insurance exemption.