SEC appeals key enforcement issue in case against Robert Cochran
- 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.
- 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.
- 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...
- SEC to appeal court dismissal of charges against Cochran. Hume, Lynn // Bond Buyer;04/20/99, Vol. 328 Issue 30623, p7
Focuses on the United States Securities and Exchange Commission's plan to appeal a federal judge's January 28, 1999, dismissal of securities fraud charges against former Oklahoma investment banker Robert Cochran. Failure of Cochran to disclose vital information to issuers and investors;...
- Cochran: SEC appeal is unsupported. Hume, Lynn // Bond Buyer;10/05/99, Vol. 329 Issue 30740, p1
No abstract available.
- 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...
- 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.
- Pacific Genesis Chairman Resigns as Firm Battles SEC Over Securities Fraud Charges. Williams, Rochelle // Bond Buyer;04/30/2001, Vol. 336 Issue 31128, p38
Highlights a federal court decision asking the United States Securities and Exchange Commission (SEC) and Pacific Genesis Group Inc. (PGG) to try to resolve securities fraud lawsuit linked with bonds sold for the development of a residential golf community in California's Lucerne Valley. ...
- 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...