Will Quattrone Set Legal Precedent?
- Ex-Miami Budget Director To Appeal To Supreme Court. Glazier, Kyle // Bond Buyer;1/2/2015, Issue F301, p1
Former Miami, Fla. budget director Michael Boudreaux is appealing to the U.S. Supreme Court after a federal appeals court decided not to reconsider its decision to disqualify his immunity from a Securities and Exchange Commission lawsuit.
- S.E.C. Authority over Mutuals Displaces Antitrust Laws. Young, Rowland L. // American Bar Association Journal;Dec75, Vol. 61 Issue 12, p1529
Discusses the decision of the U.S. Supreme Court in the antitrust case 'United States v. National Association of Securities Dealers.' Regulatory authority of the Securities and Exchange Commission over mutuals ruled as displacing antitrust laws; Antitrust policy of the Sherman Act.
- NASD Permanently Bars Quattrone for Refusing to Testify. // ComplyNet;Nov2004, pN.PAG
Reports on the decision of the National Association of Securities Dealers' (NASD) National Adjudicatory Council to permanently barred Frank Quattrone from working in the securities industry in the U.S. in any capacity. Reason behind the decision of the NASD; Information on the investigation...
- Frank's Back. // Red Herring;1/27/2010, p2
The article offers information related to the plan of California-based QuinStreet to go public. It notes that former investment banking celebrity Frank Quattrone has returned to the technology initial public offering (IPO) sector as his firm Qatalyst Partners serves as the financial advisor to...
- Rajat Gupta Loses Appeal of Lifetime Ban By SEC. // India -- West;1/23/2015, Vol. 40 Issue 10, pA21
No abstract available.
- Appellate Court Reaffirms SEC Conflict Mineral Decision. // CoatingsTech;Oct2015, Vol. 12 Issue 10, p32
The article reports that the U.S. Court of Appeals for the D.C. Circuit has reaffirmed its decision regarding the U.S. Securities and Exchange Commission's (SEC) conflict mineral disclosure on April 14, 2014. Topics discussed include the requirement to disclose whether the raw materials in the...
- The trouble with Frank. Elkind, Peter; Gimein, Mark; Boorstin, Julia; Burke, Doris // Fortune;9/3/2001, Vol. 144 Issue 4, p112
Focuses on investment banker Frank Quattrone, head of technology investments at Credit Suisse First Boston (CSFB). Why the firm has become the subject of an investigation by the National Association of Securities Dealers; Possibility that several CSFB trading officials may face charges for...
- Under Fire, CS First Boston Exec Quits. // American Banker;3/5/2003, Vol. 168 Issue 43, p6
States that Frank Quattrone resigned from Credit Suisse First Boston Corp. on March 4, 2003. Indication from a press release that the move was in the best interest of the company and the banker; Issue of his decision not to testify before the National Association of Securities Dealers.
- Quattrone Wants NASD Ban Overturned. Dow Jones // American Banker;3/3/2005, Vol. 170 Issue 42, p19
Reports that Frank Quattrone, the former star technology banker convicted of destroying evidence in an investigation of Wall Street's underwriting, said the National Association of Securities dealers violated his rights when it barred him for life from the securities industry.