Former Stifel employee settles fraud charges with SEC
- 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.
- Judge Dismisses SEC Case Against Former Broker, Rules Markups Not Excessive. Hume, Lynn // Bond Buyer;5/1/2002, Vol. 340 Issue 31377, p50
Reports on the judgment of the fraud case filed by the Securities and Exchange Commission and MSRB against broker Mark David Anderson in the U.S. Rules on mark-ups and markdowns on municipal securities; Standardization of municipal securities; Dismissal of the case.
- 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.
- Cochran: SEC appeal is unsupported. Hume, Lynn // Bond Buyer;10/05/99, Vol. 329 Issue 30740, p1
No abstract available.
- Neither side appeals the horler ruling; decision declared final. Hume, Lynn // Bond Buyer;12/07/99, Vol. 330 Issue 30782, p8
Reports on administrative law judge Brenda Murray's declaration of her ruling on the fraud case against former Dain Rauscher Inc. banker Virginia Horler as final, in the absence of appeal from the opposing sides of the case. Agreement with the United States Securities and Exchange Commission's...
- SEC sues Big Five partner. // Accountancy;Jun2001, Vol. 127 Issue 1294, p11
Reports the lawsuit filed against Andersen partner Philip Harlow by the Securities and Exchange Commission in the United States. Involvement of Harlow in economic fraud; Authorization of Harlow on unqualified audit opinions on the financial statement of Sunbeam Corporation; Justification of the...
- Candie's CEO faces accounting fraud suit. // Westchester County Business Journal;5/12/2003, Vol. 42 Issue 19, p11
Reports on the fraud suit filed against chief executive officer Neil Cole by the U.S. Securities and Exchange Commission (SEC). Complaints on the fraudulent accounting practices of Cole; Monetary penalty of Cole; Reaction of Cole to the allegations of SEC.
- 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.
- 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.