- 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.
- SEC Sues Victorville And Kinsell. GLAZER, KYLE // Bond Buyer;4/30/2013, Vol. 384 Issue 33903, p1
The article informs that the U.S. Securities and Exchange Commission has filed a lawsuit against authority of California-based Victorville, a city official, the Southern California Logistics Airport Authority, underwriter Kinsell, Newcomb & DeDios for defrauding investors with 2008 bond offering.
- 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.
- Assessing risk of an SEC 'Admission of Wrongdoing': Four considerations for boards. Edwards, Christine A. // Inside Counsel (SyndiGate Media Inc.);8/1/2015, p1
The article discusses the policy drafted by the U.S. Securities and Exchange Commission (SEC) regarding the settlement of civil enforcement actions.
- SEC Sues 2 for Misrepresenting Facts to Investors. LANNOM, ANDREA // State Journal (WV);7/22/2011, Vol. 27 Issue 28, p21
The article reports on the move of the Securities and Exchange Commission (SEC) to file a federal lawsuit against Ronald F. LeGrand and Frederick E. Wheat Jr. for making material misrepresentations to investors regarding a West Virginia oil and gas company.
- Five Indian American Doctors Settle Insider Trading Case. Springer, Richard // India -- West;7/20/2012, Vol. 37 Issue 35, pA4
The article informs that five Indian American physicians including Apparao Mukkamala, Suresh Anne, Jitendra Prasad Katneni, Rao A.K. Yalamanchili and Mallikarjunarao Anne has agreed to pay 1.9 million U.S. dollars to settle a lawsuit filed by the U.S. Securities and Exchange Commission (SEC)...
- 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.
- SEC claims Stifel Nicolaus defrauded school districts. // Pensions & Investments;8/22/2011, Vol. 39 Issue 17, p14
The article presents information on a court case filed by the U.S. Securities & Exchange Commission (SEC) against Stifel, Nicolaus & Co. and David W. Noack, former senior vice president for defrauding five Wisconsin school districts that invested in debt obligation investments.