SEC Bars Pennsylvania's Kieran Dale From Investment Advisory Business
- Section 10(b) Litigation: The Current Landscape. Kasner, Jay B.; Kornreich, Mollie M. // Business Law Today;Oct2014, p1
The article offers information on the violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act). According to section 10(b), it is unlawful to use, in connection with the purchase or sale of any security a deceptive device or contrivance in contravention of such rules and...
- What the SEC Found Inside ITG's Secret Trading Desk. Albinus, Phil // Tradersmagazine.com;8/12/2015, p7
The article reports on the investigation conducted by the U.S. Securities and Exchange Commission (SEC) regarding the secret trading desk initiated by financial services company Investment Technology Group Inc. It refers on Project Omega, a broker-dealer ran an elaborate operation to dupe its...
- SEC Ponders Curbs on High-Frequency Trading. Aguilar, Melissa Klein // Compliance Week;Nov2010, Vol. 7 Issue 82, p10
The article focuses on the regulation and efforts of the U.S. Security and Exchange Commission (SEC) to control abuses in high-frequency trading (HFT). It states that HFT was a prime suspect for the flash crash in May 6, 2010 which frightened both the investors and regulators. It says that quote...
- SEC Bars Pennsylvania's Kieran Dale From Investment Advisory Business. // Bond Buyer;4/20/2006, Vol. 356 Issue 32364, p31
The article reports on the prohibition of Kieran J. Dale, managing director of the Keystone Venture V LP, from the investment advisory business based on the order of the U.S. Securities and Exchange Commission. The decision is part of a settlement of securities fraud charges for misappropriating...
- TEXAS: Obeying the SEC. Albanese, Elizabeth // Bond Buyer;1/22/2002, Vol. 339 Issue 31308, p37
Reports on the plans of two former Arlington City Council members to close their investment management business as a result of securities fraud lawsuit by the U.S. Securities and Exchange Commission. Allegations against companies involved in the fraud.
- Dates set for SEC trials in cases over '93, '94 deals in Orange County. Hume, Lynn // Bond Buyer;01/26/99, Vol. 327 Issue 30565, p25
Focuses on United States Securities and Exchange Commission's (SEC) disclosure-related enforcement case against five issuers in Orange County, California. Small cities and school districts' determination to fight SEC charges; Violation of securities fraud laws through negligence.
- SEC charges 3 issuers, others over land-backed deals. Marois, Michael B.; Hume, Lynn Stevens // Bond Buyer;02/04/98, Vol. 323 Issue 30324, p1
Reports on the US Securities & Exchange Commission's (SEC) securities fraud charges against three small central California issuers of land-backed bonds. SEC action against a financial adviser and real estate appraiser for defrauding investors who bought Mello-Roos and Marks-Roos bonds issued...
- Financial shell game in Florida County sparks SEC charges. Reynolds, Katherine M. // Bond Buyer;09/30/97, Vol. 321 Issue 30241, p6
Reports on the securities dealers in Escambia County, Florida charged with fraud by the US Securities & Exchange Commission (SEC). Excess markups made by the charged dealers; Start of public administrative proceedings against the dealers.
- Mississippi localities settle; lawyer sued in SEC case. Hume, Lynn Stevens; McKenna, Jon // Bond Buyer;07/14/98, Vol. 325 Issue 30434, p1
Reports on the United States Securities and Exchange Commission's settlement of securities fraud charges against 38 counties, cities and town in Mississippi for failure to disclose the risk that 73 municipal note issues were not tax-exempt. Terms of the settlement; Attempt to maintain the...