SEC, Rauscher could settle or go to trial
- Dain Rauscher, SEC discuss yield-burning settlement. Hume, Lynn Stevens // Bond Buyer;12/09/98, Vol. 326 Issue 30536, p1
Focuses on the efforts of Dain Rauscher Inc. and the Securities and Exchange Commission to explore the possibility of a settlement of the United States agency's yield-burning lawsuit against the firm. Aspects of the precedent-setting court case; Revelation of the settlement talks' existence in...
- Ough to Continue to Fight SEC in Appeal or Trial. Hume, Lynn // Bond Buyer;7/16/2001, Vol. 337 Issue 31181, p6
Reports on the decision of former Dain Rauscher Inc. banker Kenneth Ough to continue to fight the United States Securities Exchange Commission's (SEC) Orange County, California-based related securities fraud charges. Ough's denial of the charges despite an appeals court decision favoring SEC;...
- Judge to rule in two weeks on dismissing Rauscher case. Hume, Lynn Stevens // Bond Buyer;08/10/98, Vol. 325 Issue 30453, p1
No abstract available.
- O'Brien partners settles SEC investment adviser fraud case. Hume, Lynn Stevens // Bond Buyer;10/28/98, Vol. 326 Issue 30509, p1
Reports that O'Brien Partners Inc. agreed to pay damages to settle securities fraud charges in a United States Securities and Exchange Commission case that could have major ramifications for financial advisers in the municipal market, as well as the commission's pending yield-burning suit...
- Yield-burning deal proposed; Rauscher case to go forward. Hume, Lynn Stevens // Bond Buyer;08/14/98, Vol. 325 Issue 30457, p1
Focuses on a proposal by broker-dealer firms for a global settlement of their alleged yield-burning abuses with the United States Securities and Exchange Commission (SEC) and other federal agencies. Effort to end a stalemate with federal agencies over the yield-burning dispute; Refusal by Judge...
- Rauscher accuses SEC of foisting corporate disclosure standards on muni market. Hume, Lynn Stevens // Bond Buyer;10/07/98, Vol. 326 Issue 30494, p6
Focuses on Dain Rauscher Inc.'s brief denying the Securities and Exchange Commission's (SEC) fraud charges filed in a United States District Court in Los Angeles, California. Rauscher's claim that SEC is trying to force municipal market participants to meet corporate line-item disclosure...
- Rauscher, Horler cases put on hold. Hume, Lynn // Bond Buyer;10/14/99, Vol. 330 Issue 30747, p1
Reports that the United States Securities and Exchange Commission has put on hold the securities fraud lawsuits it filed against former Dain Rauscher Inc. bankers Kenneth D. Ough and Virginia O. Horler, as they were on the verge of settlement. Reason behind the federal agency's decision to put...
- Ough ruling may wreak havoc on North Orange County case. Hume, Lynn // Bond Buyer;12/09/99, Vol. 330 Issue 30784, p5
Reports on the dismissal of securities fraud charges against Dain Rauscher Inc. banker Kenneth Ough. Appeal filed by the United States Securities and Exchange Commission.
- Dain Rauscher to Pay $500,000 To Settle 4-Year-Old SEC Charges. Hume, Lynn // Bond Buyer;8/14/2002, Vol. 341 Issue 31449, p1
Reports the settlement of the securities fraud charges of the Securities and Exchange Commission against RBC Dain Rauscher in Oregon County, California. Agreement to cease and decease violations related to securities law; Amount paid by the company; Enforcement of the municipal bond.