Weiss to Detail His Appeal of SEC Ruling Next Month
- Federal agency sues USA Capital partner. Edwards, John G. // Las Vegas Business Press (10712186);5/5/2008, Vol. 25 Issue 18, p17
The article reports on the federal lawsuit filed by the U.S. Securities and Exchange Commission (SEC) accusing Joseph Milanowski of Las Vegas, Nevada of fraud and a securities violation at USA Capital. Milanowski was accused by SEC of misusing investor money for purposes not allowed under the...
- SEC Charges TV Infomercial Personalities in Investor Workshop Fraud. // ComplyNet;Mar2008, p12
The article announces that the U.S. Securities and Exchange Commission (SEC) has filed civil fraud charges against Linda Woolf and David Gengler of Utah who have sold a stock trading system they touted on television across the country. According to the article, the two duped seniors and others...
- At Deadline. // Money Management Executive;9/10/2007, Vol. 15 Issue 34, p1
The article reports on the civil lawsuit settlement between the U.S. Securities and Exchange Commission (SEC) and hedge fund Durus Capital Management LLC and its principal, Scott R. Sacane against the fraud charges filed by SEC to the company. SEC stated in its complaint that Sacane bought and...
- 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.
- A New Array of Problems and Possibilities. Redd, Charles A. // Trusts & Estates;Jan2015, Vol. 154 Issue 1, p14
The article discusses several developments involving estate planning, trust administration, and taxation in America in 2014, focusing on various regulations and court decisions involving topics such as the U.S. Internal Revenue Service (IRS), tax deductions for the costs incurred by estates and...
- 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.