TITLE

Pacific Matrix agrees to settle with SEC

PUB. DATE
February 1998
SOURCE
Bond Buyer;02/02/98, Vol. 323 Issue 30322, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on Pacific Matrix Financial Group Inc.'s agreement to settle the US Securities and Exchange Commission's (SEC) charges that it violated the securities fraud laws in connection with municipal bond issues. Stifel Nicholas & Co. as underwriter for the issues; Agreement to an SEC cease and desist order; Vaiver of payment of all but $50,000 based on the firm's demonstrated inability to pay.
ACCESSION #
201004

 

Related Articles

  • 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 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...

  • 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...

  • Settle Down. Andersen, Steven // InsideCounsel;Feb2012, Vol. 23 Issue 242, p28 

    The article discusses a court case wherein Judge Jed S. Rakoff of the U.S. District Court for the Southern District of New York rejected a settlement between the Securities and Exchange Commission (SEC) and the financial giant Citigroup Global Markets. SEC alleged that during the 2007 U.S....

  • Decision clarifies misappropriation theory of insider trading. POST, ASHLEY // InsideCounsel;Dec2012, Vol. 23 Issue 252, p54 

    The article briefly discusses the court case Securities and Exchange Commission versus Obus wherein the U.S. Court of Appeals of the 2nd Circuit ruled that an individual who receives inside information may be liable for insider trading under the misappropriation theory.

  • The SEC's proxy access rule is overturned.  // Corporate Board;Sep/Oct2011, Vol. 32 Issue 190, p27 

    The article discusses a court case wherein the federal appellate court in Washington D.C. annulled the "proxy access" rule of Securities and Exchange Commission (SEC) on July 2011 because of deficiencies on company proxy materials for director elections which was identified by the court.

  • Broad Reading of Rule 10b-5 Nixed. Maleske, Melissa // InsideCounsel;Jun2010, Vol. 21 Issue 222, p70 

    The article reports on the ruling by the U.S. First Circuit in the case Securities and Exchange Commission (SEC) v. Tambone rejecting a broad interpretation of SEC Rule 10b-5.

  • SEC Files Fraud Charges Against L&L Energy, CEO.  // Coal Age;Apr2014, Vol. 119 Issue 4, p16 

    The article reports on the civil fraud charges filed by the Securities and Exchange Commission (SEC) officials against the China-focused coal company L & L Energy Inc. and its chief executive officer (CEO) Dickson Lee for fraud charges.

  • 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.

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics