SEC to appeal court dismissal of charges against Cochran
- Cochran: SEC appeal is unsupported. Hume, Lynn // Bond Buyer;10/05/99, Vol. 329 Issue 30740, p1
No abstract available.
- Lawyer: Cochran, SEC may settle. Hume, Lynn; Preston, Darrell // Bond Buyer;02/02/99, Vol. 327 Issue 30570, p6
Reports on the possibility that the United States Securities and Exchange Commission may settle securities fraud charges pending against former Oklahoma investment banker Robert Cochran. US District Court Judge Wayne E. Alley's dismissal of the commission's charges to two transactions; Pending...
- Cochran Won't Appeal to Supreme Court to Prevent Trial. Hume, Lynn // Bond Buyer;08/29/2000, Vol. 333 Issue 30964, p6
Focuses on securities fraud issue filed by the Securities and Exchange Commission (SEC) against banker Robert Cochran in the United States. Account of the charges filed by SEC; Background of the case; Significance of the case to the municipal securities enforcement program of SEC.
- SEC appeals key enforcement issue in case against Robert Cochran. Hume, Lynn // Bond Buyer;05/05/99, Vol. 328 Issue 30634, p6
Reports on the United States Securities and Exchange Commission's (SEC) request for a Denver, Colorado appellate court's ruling on a key issue for its municipal enforcement program in a fraud case against former investment banker, Robert Cochran. Docketing statement filed by SEC; Allegation...
- SEC appeal says case against Cochran is clear. Hume, Lynn // Bond Buyer;07/19/99, Vol. 329 Issue 30685, p4
Reports that the United States Securities and Exchange Commission (SEC) is appealing to the Oklahoma District Court to pursue securities fraud charges against Robert Cochran of Stifel Nicolaus & Co. Cochran's alleged action as financial adviser and agent; Alleged failure to disclose `secret...
- Robert Cochran to Stand Trial in April Over SEC Charges. Hume, Lynn // Bond Buyer;09/12/2000, Vol. 333 Issue 30973, p6
Reports that Oklahoma Federal Judge Wayne E. Alley has set a trial date of April 2001 in the United States Securities and Exchange Commission's securities and fraud case against former state investment banker Robert Cochran. Details of the case; Cochran's denial of the charges against him.
- SEC and Cochran lawyers to spar before appeals court. Hume, Lynn // Bond Buyer;02/25/2000, Vol. 331 Issue 30836, p4
Focuses on the appeal of the Securities and Exchange Commission over charges against banker Robert M. Cochran in Denver, Colorado. Summary of the civil case; Implications of the civil case for fiduciary duties of underwriters; Account on the defense of Cochran.
- 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.
- District judge ready to hear sides in banker's Orange County case. Figler, Andrea // Bond Buyer;08/11/99, Vol. 329 Issue 30702, p40
Reports on the lawsuit filed against Ken Ough by the United States Securities and Exchange Commission for alleged securities fraud. Failure to disclose material information on ten taxable note offerings.