Fitzgerald Defends Pacific Genesis During Questioning
- Fitzgerald Accepts SEC Settlement: To Pay $300,000, Be Barred. Hume, Lynn // Bond Buyer;3/14/2002, Vol. 339 Issue 31344, p1
Reports the issuance of an order by the U.S. Securities and Exchange Commission (SEC) banning David E. Fitzgerald, Chairman of Pacific Genesis Group Inc., from the brokerage industry in California. Approval of the monetary penalties and injunctions by a federal judge; Violations of the Municipal...
- Pacific Genesis' Fitzgerald Denies SEC Suit's Bond Fraud Allegations. Williams, Rochelle // Bond Buyer;01/02/2001, Vol. 335 Issue 31048, p40
Reports that David Fitzgerald, chairman of Pacific Genesis Group Inc., is not worried by the lawsuit filed against the firm by the United States Securities and Exchange Commission. Allegations of securities fraud against the company; Denial by Fitzgerald of the allegations.
- Pacific Genesis Trial Participants Wait for Judge's Decision. Williams, Rochelle // Bond Buyer;02/08/2001, Vol. 335 Issue 31073, p43
Reports on developments concerning the United States Securities and Exchange Commission's securities fraud trial against Pacific Genesis Group and its chairman, David Fitzgerald. Judge Charles R. Breyer's decision to ask the attorneys on both sides of the trial on how the court should view the...
- Pacific Genesis Reaches Tentative Deal With SEC. Hume, Lynn // Bond Buyer;1/15/2002, Vol. 339 Issue 31304, p4
Reports on a tentative agreement reached upon by lawyers from the U.S. Securities and Exchange Commission's (SEC) enforcement division and attorneys representing former Almeda, California broker and dealer Pacific Genesis Group Inc. Basis of the lawsuit filed against the firm; Need for the...
- Federal Judge Sets Trial Date for SEC's Case Against Pacific Genesis. Williams, Rochelle // Bond Buyer;01/22/2001, Vol. 335 Issue 31061, p4
Reports the fraud case against Pacific Genesis Group in the United States. Establishment of the trial date; Allegations of the Securities and Exchange Commission against the company; Omission of information regarding risk involving the deal.
- As rule 144A offerings multiply, SEC considers fine-tuning system. Wirth, Greg; Tibbitts, Lisa // Investment Dealers' Digest;10/06/97, Vol. 63 Issue 40, p13
Reports that the US Securities and Exchange Commission (SEC) is set to release proposals designed to correct some of the market anomalies that have developed because of its Rule 144A. Suggested changes to the entire process by which companies issue securities; Extent of use of 144A in the...
- Firms Agree to Landmark Yield-Burning Pact. Hume, Lynn // Bond Buyer;04/07/2000, Vol. 332 Issue 30866, p1
Reports that several securities dealer companies have settled their yield-burning cases with the United States Securities and Exchange Commission as of April 7, 2000. Case background; Names of companies involved in the case; Terms of the settlement deal.
- SEC says yield-burning probe is not new law. Stanton, Michael // Bond Buyer;11/10/98, Vol. 326 Issue 30518, p2
Reports on the United States Securities and Exchange Commission's probe into the practice of yield burning as an effort to prosecute `traditional fraudulent activities'. Examination of dealers' activities in the sale of Treasury securities to municipal issuers; Occurrence of yield burning.
- New games, new rules. Hass, Nancy // Newsweek;3/14/1994, Vol. 123 Issue 11, p43
Claims the securities industry has failed to police itself adequately and regulators are ready to take on Wall Street again. New abuses; What Securities and Exchange Commission (SEC) chief Arthur Levitt wants to do; Why the brewing furor at the mutual funds has alarmed regulators; The SEC's...