SEC joins securities cases against Wheat First
- First Union Says SEC's Wheat First Case Lacks Merit. Hume, Lynn // Bond Buyer;07/30/99, Vol. 329 Issue 30694, p4
Reports that First Union Capital Markets Corp. has accused the United States Securities and Exchange Commission (SEC) of misrepresenting the law. Concerns about the SEC enforcement case against the former Wheat First Securities Inc. and its public finance manager, Teressa L. Cawley; Allegations...
- Testimony ends in Anacomp trial. // Indianapolis Business Journal;7/26/93, Vol. 14 Issue 17, p8A
Announces the end of the testimony proceedings on July 19, 1993 in the trial of three defendants accused of insider trading in Anacomp Inc. stock. Securities and Exchange Commission's allegations against Anacomp Inc. Chairman Louis P. Ferrero, Michael Maio, and Darrin Duncan; Reactions of...
- SEC Charges Broker With Bilking Elderly Clients. // Financial-planning.com;8/ 1/2014, p9
The article discusses a court case wherein the Securities and Exchange Commission (SEC) filed on July 31, 2014 a 12-page complaint of bilking elderly clients against broker Donna Jessee Tucker in U.S. District Court in Roanoake, Virginia. Topics discussed ex-UBS broker Tucker being charged with...
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...
- Investing made easier. // Consumer Reports;Oct95, Vol. 60 Issue 10, p637
Features the short form prospectus approved by the US Securities and Exchange Commission. Content; Disadvantages; Companies using the short-form prospectus in tandem with the full-length version.
- SEC slates small business meeting. // Las Vegas Business Press;05/18/98, Vol. 15 Issue 20, p27
Reports that the US Securities and Exchange Commission will hold a small business town hall meeting on May 28, 1998, at the Moyer Student Union Ballroom at the Las Vegas, Nevada-based University of Nevada. Contact information.