SEC's Cox Leaving to Join PricewaterhouseCoopers
- Auditor Education Fund Established as a Result of Censure of Firm. // CPA Journal;Mar1999, Vol. 69 Issue 3, p9
Reports that the United States Securities and Exchange Commission (SEC) settled charges against PricewaterhouseCoopers LLP for violating SEC auditor independence rules. Terms under the settlement agreement; Information on the SEC rules.
- Cornblum to settle yield-burning case. Hume, Lynn // Bond Buyer;07/20/99, Vol. 329 Issue 30686, p4
Reports on the proposed settlement of the United States Securities and Exchange Commission's yield-burning case against former investment banker Michael A. Cornblum. Case background.
- Credit Suisse First Boston may force SEC testimony on Orange County probe. Hume, Lynn Stevens // Bond Buyer;10/08/97, Vol. 322 Issue 30247, p4
Reports on Credit Suisse First Boston's plans to ask a federal court to force the US Securities and Exchange Commission (SEC) to testify about an informal inquiry conducted by the agency into the investment pools of Orange County, California. Battle between Credit Suisse and SEC over what...
- Stock research is OK. A motorcycle isn't. Sherrid, Pamela // U.S. News & World Report;2/24/97, Vol. 122 Issue 7, p64
Considers how the Securities and Exchange Commission (SEC) is targeting money managers who accept `soft dollar' payments from the brokers who execute their trades. Explanation of the practice; Instances in which it is legal; Accusations lodged by the SEC against Tandem Management.
- STAR-BROKER FALLS. Fleming, Michael // Daily Variety;04/04/2000, Vol. 267 Issue 23, p1
Reports on the securities fraud lawsuit filed by the United States Securities and Exchange Commission against New York City-based Dana Giacchetto, an investment adviser for several Hollywood celebrities as of April 4, 2000. Case background; Lawsuit's allegations.
- SEC Aggressively Policing Swaps After Recent Loss. Aguilar, Melissa Klein // Compliance Week;Sep2010, Vol. 7 Issue 80, p8
The article reports on a court case lost by the U.S. Securities and Exchange Commission over the vast business of credit default swaps. The case was dismissed in federal district court when the judge determined that no insider trading actually occurred between the two defendants in question....
- SEC alleges conflict of interest in MPI's handling of trades for institutional client. Williams, Terry // Pensions & Investments;07/12/99, Vol. 27 Issue 14, p35
Reports on the United States Securities and Exchange Commission's conflict of interest case against Illinois-based money manager MPI Investment Management. Case background; Company's failure to inform its institutional investor client about directing trades to a former partner's brokerage firm.
- Case comment: the need for careful analysis of the statistical summary in the response to the complaint in the SEC v. Goldman Sachs case. GASTWIRTH, JOSEPH L. // Law, Probability & Risk;Mar2011, Vol. 10 Issue 1, p77
In its response to charges by the Securities and Exchange Commission that the investment bank misled investors about the role a hedge fund manager had in selecting a securities portfolio involving subprime mortgages, the firm submitted statistics to support its argument that the losses incurred...
- Say it ain't so, Joe. Smith, Anne Kates // U.S. News & World Report;01/17/2000, Vol. 128 Issue 2, p42
Reports on the United States Securities and Exchange Commission's civil lawsuit against Yun Soo Oh Park. Charges against Park concerning investment advice on his Tokyo Joe Web site; Issue of whether he was acting as an investment adviser and legally bound to disclose his trading to clients, or...