Federal Appeals Court Sends Pro-SEC Message in Reversing Ough Decision
- Industry standard not enough, SEC says in Ough appeal. Hume, Lynn // Bond Buyer;02/15/2000, Vol. 331 Issue 30829, p4
Reports that municipal securities dealers and bankers cannot insulate themselves from liability under the federal securities laws simply by following industry standards and practices, according to a brief filed by the United States Securities and Exchange Commission. Details of the lawsuit of...
- SEC doesn't appeal tax-related charges in Kenneth Ough case; reaction Mixed. Hume, Lynn // Bond Buyer;02/18/2000, Vol. 331 Issue 30832, p5
Reports on the United States Securities & Exchange Commission's decision not to appeal the tax-related charges in the securities fraud case it filed against former Dain Rauscher Inc. banker Kenneth Ough. Background of the case; Reasons of the commission for the contesting the court decision;...
- Court to Hear SEC Appeal of Ruling in Kenneth Ough Case. Hume, Lynn // Bond Buyer;01/24/2001, Vol. 335 Issue 31063, p6
Reports that the Ninth Circuit Court of appeals is set to hear oral arguments on February 9, 2001, on the United States Securities and Exchange Commission's appeal of a ruling by a district judge that threw out securities fraud charges against former Dain Rauscher Inc. investment banker Kenneth...
- Ough Lawyers: SEC `Mischaracterizing' Judge's Ruling. Hume, Lynn // Bond Buyer;03/30/2000, Vol. 331 Issue 30860, p4
Reports on the reaction of Kenneth Ough's lawyers to the United States Securities and Exchange Commission's actions towards Judge Gary Taylor's ruling on the commission's securities fraud charges against Ough. Commission's charges against Ough; Basis of Taylor's decision; Arguments by Ough's...
- Ough Doesn't Appeal SEC Ruling, Returns to Lower Court. Hume, Lynn // Bond Buyer;8/14/2001, Vol. 337 Issue 31202, p6
Reports that Kenneth Ough will not appeal a federal appeals court panel ruling on securities fraud charges made by the United States Securities and Exchange Commission. Details of the lawsuit.
- SEC: Ough Wrong to Rely On Others. Hume, Lynn // Bond Buyer;05/02/2000, Vol. 332 Issue 30882, p1
Reports on banker Kenneth Ough's violation of securities laws in the United States. Violation of laws by not doing his own investigation to determine if issuers whose notes Dain Rauscher Inc. had underwritten could reasonably claim the proceeds could ben invested without undue risk;...
- SEC Charges Developer, Appraiser Over Rancho Lucerne Project Bonds. Hume, Lynn // Bond Buyer;2/26/2003, Vol. 343 Issue 31581, p4
Reports that the U.S. Securities and Exchange Commission has filed securities fraud charges against the developer and appraiser of the proposed San Bernardino, California-based Rancho Lucerne residential golf course community. Overview of the lawsuit.
- District judge ready to hear sides in banker's Orange County case. Figler, Andrea // Bond Buyer;08/11/99, Vol. 329 Issue 30702, p40
Reports on the lawsuit filed against Ken Ough by the United States Securities and Exchange Commission for alleged securities fraud. Failure to disclose material information on ten taxable note offerings.
- Cochran: SEC appeal is unsupported. Hume, Lynn // Bond Buyer;10/05/99, Vol. 329 Issue 30740, p1
No abstract available.