SEC, First Union fight over payments to consultant; will face judge today
- SEC files charges against former First Union public finance officer. Hume, Lynn Stevens // Bond Buyer;01/06/99, Vol. 327 Issue 30552, p7
Reports that the United States Securities and Exchange Commission (SEC) has charged former First Union Capital Markets Corp. public finance manager Teressa L. Cawley with violating the Municipal Securities Rulemaking Board's Rule G-17 on fair dealing and the federal securities laws. Amount that...
- SEC: Suspend Cawley. Hume, Lynn // Bond Buyer;05/28/99, Vol. 328 Issue 30651, p1
Reports on the United States Securities & Exchange Commission' call for sanctions against First Union Capital Market Group Corp. and former public finance manager Teressa Cawley, due to irregularities in their acquisition of financial advisory business in Broward County, Florida. Potential...
- Despite SEC Action Against Trump, Pro Forma May Not Be An Issue. // Treasury & Risk Management;Feb2002, Vol. 12 Issue 2, p6
Focuses on the legal actions taken by the Securities and Exchange Commission against Trump Hotels and Casino Resorts in the U.S. Charges filed against the resort for its misleading statements in its earnings report; Examination on the earning statements of different companies to evaluate its...
- Group likes SEC protection draft. Anand, Vineeta // Pensions & Investments;2/6/1995, Vol. 23 Issue 3, p9
Reports on the investor relations community's support for the efforts of the Securities and Exchange Commission (SEC) to give companies broader protection from lawsuits for financial projections made by corporate officials. SEC hearings on the proposal.
- Ponzi scheme fallout. Halcom, Chad // Crain's Detroit Business;2/21/2011, Vol. 27 Issue 8, p10
The article presents detailed information on the lawsuit, U.S. Securities and Exchange Commission (SEC) v. Edward May of E-M Management Co. LLC.
- Fights Of The Year. // Futures: News, Analysis & Strategies for Futures, Options & Deri;Feb2012, Vol. 41 Issue 2, p50
The article offers information on two popular court cases of 2011 including Judge Jed Rakoff vs. U.S. Securities and Exchange Commission (SEC), and MF Global Ltd. vs. butt-covering inertia.
- Broward County, Fla., Should Not Get Wheat First Money, SEC Decides. Hume, Lynn // Bond Buyer;7/19/2005, Vol. 353 Issue 32177, p5
Reports on the U.S. Securities and Exchange Commission's (SEC) decision on July 18, 2005, that Broward County, Florida, should not get any of the $245,815 that Wheat, First Securities Inc., now Wachovia Securities Inc., turned over to the SEC after the commission ruled against it and its former...
- FA charges SEC with 'character assassination' in Broward County case. Hume, Lynn // Bond Buyer;08/03/99, Vol. 329 Issue 30696, p5
Reports on Financial adviser Teressa Cawley's filing of a case against the United States Securities and Exchange Commission fir engaging in character assassination to cover up the glaring deficiencies in its case against her. Commission's charge to Cawley of violating the Municipal Securities...
- Teressa Cawley blasts SEC; brief says she acted illegally. Hume, Lynn // Bond Buyer;09/14/99, Vol. 329 Issue 30725, p5
Reports on the lawsuit filed by the United States Securities and Exchange Commission against Teressa Cawley for using a consultant to help secure municipal bond business. Details of the case.