SEC: Cochran fee collection violated fiduciary relationship

Preston, Darrell
March 2000
Bond Buyer;03/07/2000, Vol. 331 Issue 30843, p4
Trade Publication
Focuses on the lawsuits of Securities and Exchange Commission (SEC) against Robert Cochran on fiduciary violation of Stifel Nicholas & Co. banker in the United States. Arguments of the Court of Appeals to continue the lawsuit; Appeal on the lower court order for summary judgment; Inquiry of the presiding justices on the argument of SEC.


Related Articles

  • Despite SEC Action Against Trump, Pro Forma May Not Be An Issue.  // Treasury & Risk Management;Feb2002, Vol. 12 Issue 2, p6 

    Focuses on the legal actions taken by the Securities and Exchange Commission against Trump Hotels and Casino Resorts in the U.S. Charges filed against the resort for its misleading statements in its earnings report; Examination on the earning statements of different companies to evaluate its...

  • Group likes SEC protection draft. Anand, Vineeta // Pensions & Investments;2/6/1995, Vol. 23 Issue 3, p9 

    Reports on the investor relations community's support for the efforts of the Securities and Exchange Commission (SEC) to give companies broader protection from lawsuits for financial projections made by corporate officials. SEC hearings on the proposal.

  • Ponzi scheme fallout. Halcom, Chad // Crain's Detroit Business;2/21/2011, Vol. 27 Issue 8, p10 

    The article presents detailed information on the lawsuit, U.S. Securities and Exchange Commission (SEC) v. Edward May of E-M Management Co. LLC.

  • Fights Of The Year.  // Futures: News, Analysis & Strategies for Futures, Options & Deri;Feb2012, Vol. 41 Issue 2, p50 

    The article offers information on two popular court cases of 2011 including Judge Jed Rakoff vs. U.S. Securities and Exchange Commission (SEC), and MF Global Ltd. vs. butt-covering inertia.

  • 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...

  • Political donations probed. Barr, Paul G. // Pensions & Investments;7/21/1997, Vol. 25 Issue 15, p38 

    Comments on the efforts to limit the political contributions to publicly elected pension fund trustees from money managers by the Securities and Exchange Commission. Information on the support given to the idea by some trustees; Identification of legislation relating to the subject; Comments...

  • Heartsoft And SEC Settle Lawsuit Over Alleged Internet Fraud.  // Electronic Education Report;09/27/2000, Vol. 7 Issue 19, p2 

    Reports the settlement of a lawsuit involving Heartsoft and Securities and Exchange Commission in the United States. Details on the allegations by the regulatory agency; Conditions under the settlement; Structure of the marketing and pricing of Internet Safari; Agreement between Heartsoft and...

  • International accounting standards: Are you ready? Goldberg, Steve; Williams, H. James // Grand Rapids Business Journal;2/2/2009, Vol. 27 Issue 5, p20 

    The article analyzes the impact of international financial reporting standards (IFRS), which is expected to be implemented by the U.S. Securities and Exchange Commission by 2011, on firms with publicly traded shares and private U.S. companies. At issue is whether a rules-based or...

  • SEC fine is latest hit to Aletheia. Diamond, Randy // Pensions & Investments;6/13/2011, Vol. 39 Issue 12, p3 

    The article presents information on recent charges of the U.S. Securities & Exchange Commission (SEC) on Aletheia Research and Management Inc. The SEC charged that company officials didn't tell its potential clients that deficiencies that had been discovered in its SEC examinations is the firm's...


Read the Article


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

Try another library?
Sign out of this library

Other Topics