TITLE

SEC Fines Piper Capital $2 Million for Fraud

AUTHOR(S)
Ferris, Craig T
PUB. DATE
December 2000
SOURCE
Bond Buyer;12/04/2000, Vol. 334 Issue 31029, p39
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports the 2 million dollars fine penalty given to the Piper Capital Management Inc. for violating the fraud laws of the Securities and Exchange Commission (SEC) in Washington. Details on the SEC charges; Termination of the company operation as a financial adviser; Number of investors participating in the lawsuit.
ACCESSION #
3911670

 

Related Articles

  • These doctors BITE BACK. Lowes, Robert // Medical Economics;9/19/2003, Vol. 80 Issue 18, p41 

    Focuses on a fine levied on a lawyer in Texas for filing a frivolous malpractice suit. Details of the case.

  • SEC Sanctions Former Piper Subsidiary and Four Officials. Hume, Lynn // Bond Buyer;8/27/2003, Vol. 345 Issue 31707, p5 

    Reports on the ruling by the U.S. Securities and Exchange Commission (SEC) that Piper Capital Management Inc., a former investment advisory arm of Piper Jaffray Companies Inc., and several associated officials violated the securities fraud laws by failing to disclose to municipalities and other...

  • Yelverton Ordered to Pay Remainder of Fine in Fraud Case. Hume, Lynn // Bond Buyer;12/12/2000, Vol. 334 Issue 31035, p32 

    Reports on the order to Eugene Yelverton to pay the remainder of fine in a fraud case. Total fines levied on Yelverton.

  • Supermarket fined after furniture fails safety test.  // Cabinet Maker;9/12/2014, Issue 5900, p10 

    The article reports on the more than £3,000 fine imposed against supermarket chain Lidl after pleading guilty for sale of unsafe upholstered furniture and incorrect labeling of furniture on September 3, 2014.

  • Fine time to act. Vermeulen, Amanda // Finance Week;10/6/2003, p4 

    Reports on the action of the JSE Securities Exchange on stockbroker irregularities in South Africa. Penalty imposed on WJ Morgan & Associates for offenses relating to former client, Joint Municipal Pension Fund; Exposure of the fraudulent activities of WJ Morgan & Associates by journalist Vic...

  • SAIC Paying $500 Million to Settle New York City Fraud Case. Allen, Mike // San Diego Business Journal;3/26/2012, Vol. 33 Issue 13, p11 

    The article reports that SAIC Inc., an engineering and research firm which moves to McLean, Virginia, agreed to pay 500 million dollars in penalties and restitution to settle allegations of fraud which involves a timekeeping project in New York City.

  • SEC says Piper fund did not disclose risks. Koning, Rachel // Bond Buyer;07/29/98, Vol. 325 Issue 30445, p5 

    Reports on the filing of securities fraud charges against the Minneapolis, Minnesota-based Piper Capital Management Inc. (PCM) by the Securities and Exchange Commission alleging that the firm failed to disclose pricing and derivatives market risk. Details of the case; Reaction of PCM to charges.

  • Lawyers support fines, not prison, for corporate fraud. Reidinger, Paul // ABA Journal;Jul86, Vol. 72 Issue 7, p34 

    Reports that majority of lawyers in the United States support fines rather than prison terms as punishment for corporate fraud. Lawyers' opposition against bans on insurance coverage of punitive damages; Factors that influence lawyers' views.

  • The Fraud Act 2006�Some Early Observations and Comparisons with the Former Law. Withey, Carol // Journal of Criminal Law;Jun2007, Vol. 71 Issue 3, p220 

    The article reports on the Fraud Act of 2006 (FA 2006) in Great Britain. According to the author, FA 2006 introduces new offenses with fraud as the main offense under section 1. Under the law, fraud may be committed in several ways including false representation and failure to disclose...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

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

Try another library?
Sign out of this library

Other Topics