Marion Bass, Official Settle SEC Fraud Case

Hume, Lynn
December 2000
Bond Buyer;12/22/2000, Vol. 334 Issue 31043, p40
Trade Publication
Reports the settlement for a Securities and Exchange Commission fraud case made by Marion Bass Securities Corp. in the United States. Allegation of charging excessive markups and markdowns on municipal and government securities; Amount paid by Marion Bass; Satisfaction of the firm with the settlement.


Related Articles

  • Baron Nailed? Wang, Penelope // Money;Jul2003, Vol. 32 Issue 7, p53 

    Former high flier Ron Baron, of the Baron Fund group, has run afoul of regulators. In April 2003, the Securities and Exchange Commission (SEC) announced a settlement with Baron, Baron Capital Inc. and two traders over charges that in 1999 they manipulated the stock of Southern Union, a gas...

  • A Who's Who of Independent Research. Evanson, David R. // On Wall Street;Aug2003, Vol. 13 Issue 8, p42 

    Features the top independent research providers in the U.S., their techniques and track records in relation to global settlement. Idea behind the settlement; Effect of the current market conditions on equities as of August 2003; Requirements under the provisions of the settlement. INSET: When...

  • New Year, New Markets. Parsons, Joe // Global Custodian;Mar2015, p1 

    With the first wave of Europe's new platform for securities settlement due in June, Northern Trust is preparing by consolidating its six largest portfolios in the region with a single provider.

  • The AIG Settlement. Hays, Daniel // Insurance Advocate;2/27/2006, Vol. 117 Issue 5, p26 

    The article reports on the agreement of American International Group Inc. to settle state and federal charges of securities fraud, failure to pay the state workers' compensation funds and bid rigging in New York. Aside from paying 1.64 billion dollars to the state, it has also agreed to modify...

  • Pa. School District Will Be First Issuer to Pay in Muni Enforcement Case. Hume, Lynn // Bond Buyer;4/23/2004, Vol. 348 Issue 31869, p40 

    Reports on the settlement of securities fraud charges by Neshannock Township School District with the Securities and Exchange Commission (SEC) for misrepresentations made about an arbitrage-driven note deal in Lawrence County, Pennsylvania. Worth of settlement for securities fraud charges;...

  • Warnaco, Wachner Settle With SEC. Young, Vicki M. // WWD: Women's Wear Daily;5/12/2004, Vol. 187 Issue 100, p2 

    Reports on the payment settlements made by the former executive of the Warnaco Group, Linda J. Wachner with the U.S. Securities and Exchange Commission in connection with her former role at the company. Allegations of securities fraud and misstatements in a press release regarding the company's...

  • R-G reaches $51 million settlement. Carmona, José L. // Caribbean Business;7/24/2008, Vol. 36 Issue 29, p2 

    The article reports on the settlement agreements for the securities fraud class-action lawsuit against R-G Financial Corp., its former executives and PricewaterhouseCoopers LLP (PwC) in the U.S. The settlements have been composed of a $39 million from defendants of R-G and $12 million from PwC....

  • AIG To Pay $1.64 Billion To Settle Fraud Charges. Hays, Daniel // National Underwriter / Life & Health Financial Services;2/13/2006, Vol. 110 Issue 6, p49 

    The article reports that the American International Group (AIG) insurance conglomerate paid $1.64 billion to settle state and federal charges regarding securities fraud, bid-rigging and failure to pay proper contributions to various state workers' compensation funds. Maurice Greenberg, AIG's...

  • Three More To Settle ARS Cases. Ackerman, Andrew; Temple-West, Patrick; Phillips, Ted // Bond Buyer;8/22/2008, Vol. 365 Issue 32946, p1 

    The article reports on the structured settlement between Merrill Lynch & Co., Goldman, Sachs & Co. and Deutsche Bank AG with the New York Attorney General Andrew Mark Cuomo and the North American Securities Administrators Association Inc. (NASA). The involved financial firms, which were charged...


Read the Article


Sign out of this library

Other Topics